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Jeff Jinnett: The Nimble Approach to Compliance: Multi-Purpose IT Solutions and “Nexialist” Compliance Attorneys
04 October 09 07:58 PM | AnnaVAubry | 0 Comments   

Regulatory compliance has become an increasingly costly burden. For example, SIFMA has estimated that the U.S. securities industry in 2004 spent $23.2 billion on compliance-related activities(1). In addition, regulatory mandates have become more intrusive Read More...

Filed under: Compliance , SEC 17a-4, Basel II Accord, Sarbanes-Oxley, HIPAA, regulatory, audit, IT solutions, Health Insurance Portability and Accountability Act, SEC, Securities and Exchange Commission, IT, Jeff Jinnett, Sectiion 409, Form 8-K, SIFMA, Enron, Section 404, SOX, financial statements, Committee of Sponsoring Organizations of the Treadway Commission, COSCO, Section 301, documentation, Code of Ethics, Section 406, attorneys, Rule 17a-4, The Voyage of the Space Beagle, A. E. Van Vogt, Nexialist

Jeff Jinnett: Obama Administration Proposed Financial Services Regulatory Reforms (Part 1): An Overview
30 July 09 11:00 PM | AnnaVAubry | 0 Comments   

On June 17, 2009, the U.S. Department of the Treasury issued a white paper entitled “Financial Regulatory Reform – A New Foundation: Rebuilding Financial Supervision and Regulation” (the “New Foundation White Paper”).(1) The New Foundation White Paper Read More...

Filed under: Hedge Funds, Executive Pay, OTC, Derivatives, Financial Services Oversight Council, Treasury, Obama Administration, Consumer Financial Protection Agency, CFPA, US, OCC, FDIC, SEC, Obama, Department of the Treasury, New Foundation White Paper, Federal Reserve Board, the Fed, too big to fail, Tier 1 FMCs, Gramm-Leach-Bliley Act, DTCC, National Bank Supervisor, Office of Thrift Supervision, OTS, Office of the Comptroller of the Currency, Securities and Exchange Commission, Commodities Futures Trading Commission, CFTC, Truth in Lending Act, Real Estate Settlement and Procedures Act, Fair Debt Collection Practices Act, Financial Consumer Coordinating Council, FSOC, securities, over-the-counter, credit default swap, central counterparties, CCPs, private equity funds, money market mutual funds, MMFs, fair value, mark to market, retirement plan, 401(k), Declaration on Strengthening the Financial System, G-20, Office of National Insurance, ONI, EU Solvency II Initiative, Jeff Jinnett