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Compliance

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  • NEW YORK, Aug 18- Standard Chartered Plc is close to a deal to pay between $200 million and $300 million to resolve allegations by New York's banking regulator that it failed to review high-risk transactions, two years after agreeing to reform its practices, a person familiar with the matter said on Monday.

  • DETROIT, Aug 12- Chrysler Group LLC on Tuesday announced the establishment of a new office called "vehicle safety and regulatory compliance" led by a veteran company senior vice president, Scott Kunselman.

  • Aug 7- U.S. banking regulators have ordered Deutsche Bank AG to improve its compliance systems and risk controls, the Wall Street Journal reported, citing people familiar with the matter.

  • FRANKFURT, Aug 5- Deutsche Bank named U.S.-Swiss lawyer Nadine Faruque to lead a reform of its regulatory compliance practices, as it battles to cut a long and expensive list of investigations and potential settlements that have dogged it since the financial crisis.

  • The EPA said the extension was necessary because refiners need to know their 2014 obligations before they can determine how many biofuel credits they may need to carry over from 2013 in order to comply with this year's requirements.

  • NEW YORK, July 25- Lyft Inc will launch ride-sharing operations on Friday evening in New York City after reaching an agreement with New York authorities over the company's compliance with state licensing and insurance regulations.

  • NEW YORK, July 8- Wall Street's self-regulator said on Tuesday it is conducting examinations of 10 firms to ensure they are in compliance with regulations requiring that investors receive the best execution for their stock orders.

  • NEW YORK, July 8- Wall Street's self-regulator said on Tuesday it has conducted examinations of 10 firms to ensure they are in compliance with regulations requiring that investors receive the best execution for their stock orders.

  • The series of examinations, which will likely begin this summer or fall, will also gauge funds' compliance with securities industry laws and regulations, said Norm Champ, director of the SEC's Division of Investment Management, in prepared remarks published by the agency late on Monday.

  • The cost of compliance  Monday, 4 Nov 2013 | 12:21 AM ET

    Francis Lun, CEO at GEO Securities says the cost of compliance will affect banks earnings for years to come.

  • Compliance: A policeman’s lot is not a happy one Thursday, 17 Oct 2013 | 4:09 AM ET

    Hector Sants’ break from his role as chief compliance officer at Barclays due to stress has highlighted the strains on banks’ internal policemen.

  • New Financial Regulations Hard to Manage?  Tuesday, 2 Jul 2013 | 4:45 AM ET

    Neil Owen, global practice director at Robert Half Financial Services, discusses how challenging the "wave of new regulations" is for financial services executives, especially finding the right talents to implement the changes.