thegreatcrash08
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Moody's not doing their job?
7:52 AM Oct 2nd
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A look at the current scrutiny of Credit Rating Firms from the inside:
7:39 AM Oct 2nd
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Join Complinet for the last webcast in the Great Crash series next Wed 10/7 at 11:00am - Register here:
7:35 AM Oct 2nd
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branch chief controls flow of info., 10 or 11 people can weigh in to him or her, this person needs to have good background and timing skills
8:56 AM Sep 29th
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the digging we're do now and talking to the surrounding people in the madoff case can only help us figure out how it happened, good thing
8:56 AM Sep 29th
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hedge funds operate differently and you need to understand nuances--high-net worth folks versus retail funds
8:54 AM Sep 29th
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CFA (chartered financial analyst) and CFE (certified fraud examiner) training would be so helpful
8:49 AM Sep 29th
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training: limited training at the time -- basic securities training and about trends is needed
8:47 AM Sep 29th
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inspector general is issuing report right now about the inspections process, actually
8:46 AM Sep 29th
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work less from a checklist and look at full picture -- checklist just a starting point. compliance is much more than "are the boxes checked"
8:43 AM Sep 29th
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SEC/FINRA investigs need to be integrated more -- and all reviews should have investigators with broad experience -- look at more issues
8:43 AM Sep 29th
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SEC has oversight over FINRA (but still some silo issues, tho -- should be closed
8:43 AM Sep 29th
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how tips are handled -- hiring more experienced people to work on cases-- she's doing this-- how resources are deployed should be evaluated
8:43 AM Sep 29th
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Ponzi scheme of epic scale: Schapiro is taking approp measured approach. New director of OCIE will have energy & right focus now
8:39 AM Sep 29th
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front-running remit was first -- broadened invest to look at options -- some doc requests were honored, some not -- then i was reassigned
8:35 AM Sep 29th
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ecurities knowledge is so specific -- the general litig background of these folks on this case was not suitable
8:34 AM Sep 29th
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and we had none
8:33 AM Sep 29th
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Audit trail data needed to be able to do a valid review -- independent audit data!
8:31 AM Sep 29th
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to parse the data and know how to filter and source -- need exper in options data
8:31 AM Sep 29th
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document requests and decisions were not my (staff Atty) duties. I made recs -- could not send out document request even if I recommended 1
8:30 AM Sep 29th
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- Name Ethics
- Location Financial Centers
- Bio Addressing the role regulators will play as markets recover. How will firms modify behavior and ultimately can the cycle be broken?
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