Comments for Compliancex

Comment on Should Compliance Pros Fear Doing The Right Thing? by shamsundar

shamsundar — Fri, 18 May 2012 17:42:44 +0000

No Sir,
No,
the compliance officer need protection for bringing out the wrongs. No he should not be punished.It may give a wrong message to those interested.

Comment on CFTC Settles with Another Dark Pool Player and Four Other Things Compliance Pros Need to Know 5/17/12 by CFTC Settles with Another Dark Pool Player and Four Other Things Compliance … | forexbrokerreview.org

Fri, 18 May 2012 00:48:20 +0000

[...] CFTC Settles with Another Dark Pool Player and Four Other Things Compliance Pros Need to Know 5/17/1… [...]

Comment on Stockbroker Barred For Paying Gambling Debts With Customer Funds by Jim McClanahan

Jim McClanahan — Thu, 17 May 2012 01:25:58 +0000

Clearly, Duda wasn’t going to volunteer an audit of the activity. If we could educate investors to insist on an audit, it would make these frauds a little more difficult to perpetrate. Kind of like the advice to lock your door to deter at least the amateur thief.

Comment on New York Tax Preparer Accused of Running a Ponzi Scheme by Jim McClanahan

Jim McClanahan — Thu, 17 May 2012 01:09:16 +0000

There is a “lack of common sense” theme that runs through these frauds. Van Zandt’s projects “were impossible to build”, just like Monus’s Phar-Mor had more inventory than would physically fit in its stores and Minkow’s Z-Best had contracts that were larger than any other resortation contract in history. Were Van Zandt’s “programs” audited (what’s a “program”)? That is supposed to help the investor (although it didn’t help Phar-Mor’s and Z Best’s investors).

Comment on In 2007, Top JPMorgan Execs Voiced Concerns Over CIO Bets by Shaz

Shaz — Wed, 16 May 2012 05:32:12 +0000

Goodness, you know – I’m getting a little sick of this “Jamie is the best banker in the world” stuff. He was just the first to jump during the GFC to get his little sweet deal with the government before everyone else! “ironclad reputation” blah blah blah. Evidently not…..

Comment on Compliance Officer Named One of the Best Jobs of 2012 by Compliance Officer Named One of the Best Jobs | Bryant & Associates - Compliance is not an option

Wed, 16 May 2012 02:09:50 +0000

[...] Compliance Officer Named One of the Best Jobs in 2012 Ken Bryant Call & Fax: 855-KEN-BRYANT (855-536-2792) ken@amlcft.com http://www.amlcft.com/Share this:FacebookSharePress ThisDiggPrintStumbleUponRedditEmail This entry was posted in AML Compliance Market Trends and tagged Compliance Hiring. Bookmark the permalink. Post a comment or leave a trackback: Trackback URL. « Compliance Hiring is on the Rise [...]

Comment on A Little Hope For Compliance Hiring by Compliance Hiring is on the Rise | Bryant & Associates - Compliance is not an option

Wed, 16 May 2012 02:04:38 +0000

[...] A Little Hope For Compliance Hiring Ken Bryant Call & Fax: 855-KEN-BRYANT (855-536-2792) ken@amlcft.com http://www.amlcft.com/Share this:FacebookSharePress ThisDiggPrintStumbleUponRedditEmail This entry was posted in AML Compliance Market Trends and tagged Compliance Hiring. Bookmark the permalink. Post a comment or leave a trackback: Trackback URL. « FSA Releases Thematic Review of Anti-bribery and Corruption Controls in Investment Banks [...]

Comment on Should Compliance Pros Fear Doing The Right Thing? by Kevin L. Warmack, E.J.D.

Kevin L. Warmack, E.J.D. — Wed, 16 May 2012 01:36:07 +0000

As a compliance professional, I know that I have to make unpopular decisions or decisions that may affect the livelyhood of my house. But I know that when I took on the role, I wouldn’t be popular and that at times I have to be the moral compass for the firm. So to be fired for actually doing my job is and would be an honor. Just know that once the regulator finds out, the firm will be paying more than just my salary to clear up the problem. As the commercial said, you can pay me now or pay me later!!

Comment on Corrupt Pol Swindled 500,000 From Taxpayer-Funded Bronx Health Clinic by Brian

Brian — Tue, 15 May 2012 21:47:23 +0000

His name doesn’t sound very Polish to me.

Comment on In 2007, Top JPMorgan Execs Voiced Concerns Over CIO Bets by JPMorgan Execs Voiced Concerns Over CIO Bets in In 2007 « Snap!

JPMorgan Execs Voiced Concerns Over CIO Bets in In 2007 « Snap! — Tue, 15 May 2012 21:15:00 +0000

[...] about some of the problems that result from an internally-driven compliance mindset. According to ComplianceX, Dealbook reported that as early as 2007, top JPMorgan execs expressed their concerns over the [...]