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  • WASHINGTON, Oct 25- A proposal that would require stock exchanges to be better equipped to handle market disruptions does not go far enough to hold senior officials accountable for failures, Securities and Exchange Commission member Luis Aguilar said on Friday. The SEC proposed in March the "Regulation Systems Compliance and Integrity," or Reg SCI.

  • 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.

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