Posts tagged 'Compliance'

Reminder: Please complete your Annual Risk Awareness Test

This is another reminder about completing your Annual Risk Awareness Test. Our records show that you have yet to complete the Insider Trading Module.

Please note — for like the 30th time or something — that completion is mandatory. You must complete the test by Friday, October 4th. Read more

Wanted at Goldman Sachs: Compliance person with aversion to French, fabulousness

Spotted on the Goldman Sachs careers website…

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CEO GO – saying sorry the Bloomberg way

Message from the CEO of Bloomberg

Dear Client, Read more

The art of email when big brother is watching

One of the things the Libor scandal has taught us is that there actually is a big contingent of people working in banks who don’t understand that emails, like puppies for Christmas, are forever. Strange, isn’t it?

To emphasize the point, Ernst and Young reported the results of an investigation, co-developed by the FBI, on language that tends to be present in electronic communications when cases of fraud are uncovered. Read more

Fed demands RBS improve compliance

Royal Bank of Scotland has been ordered by the US Federal Reserve board to improve compliance and governance in its US operations, the WSJ reports. The Fed issued similar cease-and-desist orders to HSBC and Barclays in 2010. The order is not a response to a specific incident, and gives RBS 60 days to submit a written plan showing how it will implement tighter oversight from board members and senior executives of risk and governance. RBS must also demonstrate that it will tighten up risk management and comply with requirements set by the Treasury Department’s Office of Foreign Assets Control, which monitors potential money laundering activities, reports Reuters. RBS said it was already tackling the issues.

Nominations invited…

And save the date – Nov 9, at Grosvenor House, Park Lane, London

Just four months to go till the 2009 Complinet Compliance Awards. Read more