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Securities regulators may have a new target in their sights: compliance officers at hedge-funds.
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Brokers who give retiring workers bad advice about what to do with their 401(k) plans should expect some headaches: U.S. securities regulators are taking a closer look at what happens when investors roll their workplace balances into private individual retirement accounts.
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 Bloomberg News reports that the Serious Fraud Office sent notices to the people in the U.S. and U.K. over the last six weeks, telling them to come in to be questioned under caution as part of a global investigation into rate-rigging, said the person, who asked not to be named because the requests are private.
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The billionaire businessman behind Beanie Babies learned Tuesday that he won't go to prison for hiding at least $25 million from U.S. tax authorities, and the judge who gave him two years' probation instead went to great lengths to praise his charitable giving.
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 Two primary regulators of Wall Street are preparing, once again, to make the most of scarce resources.
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 "If you love what you do, it's not 'work,'" David M. Rubenstein, co-founder and co-chief executive of the private equity giant Carlyle Group, told CNBC's Squawk Box on Tuesday.
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 Wall Street traders may be manipulating a key derivatives market and front running Fannie Mae and Freddie Mac, hurting the US-owned mortgage giants in the process, according to an FBI intelligence bulletin reviewed by Reuters.
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 Five U.S. bank regulatory agencies on Tuesday approved a tweak to the Volcker rule that would allow banks to keep interests in certain funds backed by trust-preferred securities.
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 Bloomberg News reports that JPMorgan Chase's corporate and investment bank allocated 4.2% less for employee compensation last year as the division's revenue was little changed.
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 The newest employee perk for young staffers on Wall Street: weekends.
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When: March 25-26, 2014
Where: The Princeton Club, NYC
15 West 43rd Street
New York, NY 10036
**CompliancEX subscribers are eligible for a 10% registration discount with Code FMP173**
Top Reasons to Attend:
- Review upcoming regulatory developments, examine their impact on due diligence and strategize what you should be doing now to prepare
- Network with your peers and discuss how and why their expectations for due diligence have changed
- Map out effective tactics to obtain essential but undisclosed information
- Discover strategies to avoid conflicts of interest resulting from consolidation and outsourcing
- Identify important considerations when keeping vital corporate information in the cloud
- Dig deeply into the nuances of pricing and valuation
- Understand the industry impact as more institutional investors make direct investments
- Discern the "yellow flags" involving counterparty risk that you should never ignore
- Investigate the new best practices in hedge fund due diligence
- Earn 14 CPE credits!
For More Details Read Here
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CompliancEx provides our viewers with in depth industry articles, seminar and conference information, advertisers relevant to Compliance and a chance to write editorials for our blog.
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