Temple Associates
Advice for Fund Managers, Securities and Banking Firms
Showing posts with label
Compliance
.
Show all posts
Showing posts with label
Compliance
.
Show all posts
1 May 2017
Compliance hiring at fever-pitch!
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My (pessimistic) prognosis of 'One Compliance Kommissar behind every productive Staffer' is soon (already?) sad reality. Wish the s...
13 May 2016
Commodity Trading - A Mystery
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While this news item illustrates the extraordinary influence the - mostly Switzerland-based - Commodity Trading firms have in the markets t...
15 Sept 2015
Dark Pools - who brings light into them?
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News that Credit Suisse has reached a settlement on the 'dark pool' probe may bring relief to its shareholders, management and some...
29 Aug 2015
Money Laudering: what is a 'suspicious' transaction?
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Apart from finance professionals being clairvoyants it is extremely tricky to safely fulfil the regulator's insistence to report all su...
30 Jul 2014
Regulatory Nightmare is here and now!
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I quite often said that the control freaks in charge of our lives - i.e. psychopathic politicians - will not be satisfied with extending eve...
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