CompliancEXtag:typepad.com,2003:weblog-17108162009-11-12T10:00:00-05:00This site updates all the current news for Compliance, Risk Management, Market Risk, Operational Risk, Credit Risk, Corporate Governance, Pricing and Valuation, Financial/Internal Controls, Legal,
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TypePadTennessee trader pleads guilty in $21M Ponzi schemetag:typepad.com,2003:post-6a00e553d6cb2b88330120a68710be970b2009-11-12T10:00:00-05:002009-11-12T10:00:00-05:00Jack KellyInvestment News, November 11, 2009 (AP) A Gatlinburg, Tenn., businessman accused of defrauding investors of $21 million in a wide-ranging Ponzi scheme pleaded guilty Tuesday to all charges against...<br/>
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</div>Robert W. Cook Named Director of SEC Division of Trading and Marketstag:typepad.com,2003:post-6a00e553d6cb2b88330128757bc280970c2009-11-11T16:00:00-05:002009-11-11T16:00:00-05:00Jack KellyBy U.S. Securities and Exchange Commission, November 10, 2009 Securities and Exchange Commission Chairman Mary L. Schapiro announced today that Robert W. Cook has been named Director of the agency's...<br/>
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</div>FDIC's Bair: Must Pre - Fund Financial Firm Unwindingtag:typepad.com,2003:post-6a00e553d6cb2b88330128757b52e7970c2009-11-11T15:30:00-05:002009-11-11T15:30:00-05:00Jack KellyBy Karey Wutkowski in Washington and Clare Baldwin in New York (Reuters) for The New York Times, November 10, 2009 A reserve fund must be established ahead of time to give the government the working...<br/>
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