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Devan is the Editor of CompliancEX. She loves to hear from our avid readers and would love to receive some feedback. She can be reached at [email protected]
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| Career Advice from Jack Kelly |
"Everything You Need to Know About The Job Market Right Now"
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By Jack J. Kelly
Fear about the outcome of the Presidential election (supporters of both candidates tend to believe the other person will completely destroy and annihilate the economy and deliver plagues, devastation and a zombie apocalypse), worries concerning possible bank failures, terrorist attacks, global instability and other events are making it too easy for hiring managers and candidates to move onto the sidelines and wait for greater certainty and better times ahead (
despite the zombies).
To Read the full article click
here
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Elizabeth Warren Asks Obama To Fire Top Wall Street Regulator For 'Brazen Conduct'
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Sen. Elizabeth Warren (D-Mass.) on Friday asked President Barack Obama to fire the government's top securities regulator for "brazen conduct" that "hurts investors, undermines administration policy, and willfully misinterprets congressional mandates."
Read the article
here
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SEC brings record number of enforcement actions against advisers
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The SEC brought a record number of enforcement actions over the past fiscal year, setting all-time highs for cases brought against investment advisers and investment companies, the agency announced this week.
In the fiscal year that ended Sept. 30, the SEC filed 868 enforcement actions against various players in the financial-services sector, including 258 cases against investment advisers or companies.
Read the article
here
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Startup Uses A.I. to Speed Up Financial Compliance
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A U.K. startup that uses artificial intelligence to help banks and other financial firms with anti-money laundering compliance received $8.2 million to fund its expansion in Europe and North America.
The financing for London-based ComplyAdvantage is being lead by British venture capital firm Balderton Capital.
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Exclusive: Deutsche Bank considers thousands more job cuts
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FRANKFURT (Reuters) - Deutsche Bank's finance chief told staff representatives last month that job cuts at the bank could be double that planned, a step that could remove 10,000 further employees, a person with direct knowledge of the matter told Reuters.
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Hedge funds breathe short sigh of relief in September
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Why the SEC Wanted Leon Cooperman Off Wall Street
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Hedge fund giant Leon Cooperman may not want to retire, but the Securities and Exchange Commission (SEC) wanted him off Wall Street due to insider trading charges, according to new reports.
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MARK CUBAN: Leon Cooperman should kick the SEC's a-
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Mark Cuban has a very low opinion of the Securities and Exchange Commission.
In an interview with CNBC's Power Lunch on Thursday, Cuban ranted against the SEC and said that he gave some strong advice to hedge fund legend Leon Cooperman, who is facing insider trading charges.
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| Wells Fargo complaints show flaws in federal whistleblower program |
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WASHINGTON (Reuters) - Former Wells Fargo & Co (WFC.N) general manager Claudia Ponce de Leon filed a whistleblower complaint in December 2011 with federal labor regulators, alleging she was fired for telling superiors about employees opening unauthorized accounts.
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Clinton and Europe on Taxing Wall Street Speculation
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Citigroup tops Wall Street expectations for earnings and revenue
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Citigroup announced third-quarter earnings and revenue Friday morning that topped Wall Street expectations.
The bank said it saw adjusted earnings per share of $1.24 on $17.76 billion in revenue for the quarter. Wall Street analysts had expected Citi to report earnings of about $1.16 a share on revenue of $17.36 billion, according to a consensus estimate from Thomson Reuters.
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Goldman Sachs Wants To Consolidate Your Credit Card Debt
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Goldman Sachs will begin lending money to regular people Thursday, after almost 150 years of avoiding them like the plague. The company that made its name as a banker to big business, government and the rich is launching Marcus, a new consumer finance business named after the bank's founder, Marcus Goldman.
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Read Elizabeth Warren's Tweetstorm on Wells Fargo's CEO
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Wells Fargo's CEO John Stumpf may be out, but Sen. Elizabeth Warren (D-Mass.) says the former bank executive, and his bank, has more to pay.
Stumpf announced Wednesday afternoon that he would retire, two years earlier than anticipated, amid a scandal in which the bank created some 2 million phony accounts without consumer consent.
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London or New York? Why Brexit has shaken up the banking rivalry
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London is under threat, and New York is going to steal its lunch.
That is the mood in the City right now, as financiers are still reeling from the surprise Brexit vote.
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Protiviti's Week In Review
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Content Brought to you by Joseph Hanvey, Director at Protiviti
- This week, a Washington, D.C. circuit court found the structure of the CFPB to be unconstitutional. More specifically, the court took issue with the inability for other arms of the government to review or rebuke the CFPB judgments or actions and the unilateral power imbued in the CFPB's director, currently Richard Cordray.
- The Chicago Tribune reported that the SEC announced a large financial institution will pay $9.5 million to settle allegations the bank failed to properly safeguard non-public information generated by its research analysts. This coming on the heels of reports that the SEC announced that it had filed 868 enforcement actions exposing financial reporting-related misconduct by companies and their executives and misconduct by registrants and gatekeepers, in fiscal year 2016.
- Last week, Sutherland released a semi-annual study of disciplinary actions from FINRA. While we just read the SEC is keeping a healthy pace, FINRA continues to be on pace for setting a new record with the highest dollar amount of fines in a single year.
To Read The Full Review Click here.
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