Category archive for ‘Compliance’

• New Hampshire Pension Seeks Compliance Officer

  3/01/13 • (0)

• White Paper: Many Broker Dealers Still Mired in Manual Compliance Processes

  10/03/12 • (0)

• Simon Compliance Talks Expansion

  9/27/12 • (0)

• SEC Picks New Deputy Director of Exam Division

  9/19/12 • (0)

• SEC Brings On New Hire for its Compliance Office

  7/16/12 • (0)

• Morgan Stanley to Add Municipal Securities Compliance Executive

  5/24/12 • (0)

• Big Banks Call for Compliance Officers

  5/01/12 • (0)

• CalPERS Creates New Position: Chief of Risk, Compliance and Ethics

  4/16/12 • (0)

• SEC to Hire New Quantitative Research Analyst

  4/12/12 • (0)

• SEC Puts Out Warning: Performing Proper Muni Practices is a Must

  3/23/12 • (0)