Date/Time
Date(s) - 8 Mar 2012 until 9 Mar 2012
8:00 AM - 6:00 PM
Location
Crystal Gateway Marriott
Category(ies)
Investment Advisor Association’s comprehensive two-day program will provide the most current information available on the changing regulatory landscape and assist you in gaining a clear understanding of what is necessary to maintain a successful compliance program.
Goldman’s Greg Smith:
Trader, Whistle-Blower & Soon …
– MELANIE GRETCHEN, C-I STAFF WRITER;
W/ HOWARD HAYKIN, C-I MANAGING EDITOR
Apparently, Greg Smith, the former Goldman Sachs London-based sales trader who posted his Resignation Letter on the Op-Ed pages of the New York Times, will need more than 15 minutes in the public spotlight to quench his insatiable thirst for attention. He needs something more in the range of, say, 200-300 pages – yes, yes, a book – to do him justice.
Of course, he’ll receive the perks befitting a star whistle-blower: a guaranteed fee of $1,000,000 for writing about his exploits at the world’s leading investment banking and trading house, Goldman Sachs – in a tell-all manner that leaves little to imagination. Quite impressive for a first book – published or not. Add to the mix, a tour of the interview circuit- with the publisher paying the tab, promotional appearances, and, well, …
Once Upon A Time. Greg Smith worked for Goldman Sachs, running its U.S. equity derivatives business in Europe, the Middle East, and Africa. But enough of that. …
♦ SEC’s Khuzami Testimony on Settlements Deals with Violators. [sec]
♦ Facebook (FB) Opens for Trading – Follow Day One on Nasdaq. [google]
♦ Live Blog: Facebook’s Market Debut. [dealbook]
♦ Facebook’s Saverin to Pay `Hundreds of Millions’ in Tax. [bloomberg]
♦ Janus Capital Management Meets with Deutsche Bk. [flyonthewall]
♦ E*Trade Settles ARS Case, But Product Keeps On Giving Grief – Singer. [forbes]
Compliance Insights has summarized recent FINRA Disciplinary Actions vs. Firms & Individuals.
CLICK BELOW to access case summaries and AWC documents for the past month.
♦ Roger Jones to Mercuria Energy Trading SA
♦ Albert C. Maasland to Knight Capital Group, Inc.
♦ Paul Chen to DLA Piper in Silicon Valley
♦ Laura Readhead to Bank of America
♦ Marshall Stoddard, Christopher Exberger, and Charley Moore to Morgan Lewis
♦ Ilan Nissan and Christian Nugent to Goodwin Procter in New York
♦ Adele Hogan to Sheppard, Mullin, Richter & Hampton in New York
♦ Brian Belsky to BMO Capital Markets
♦ Michael Bodson to Depository Trust & Clearing
♦ James L. Amine to Credit Suisse
Get Details – Past & Present
The Dewey Collapse – a Chronicle
In just 2 short months, one of the world’s premier law firms – New York-based Dewey & LeBoeuf – disintegrated from a 1,000 attorney BigLaw Firm, to a splintered, disorganized and bankrupt entity.
Compliance-Insights has chronicled the collapse with the following news articles and commentaries – click a title for the underlying story.
♦ Firm Could Close: Management. 5/7.
♦ Mood of Midtown Office: Partners Relieved, Staff Anxious. 5/4.
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