The financial industry has changed dramatically since SIFMA (The Securities Industry and Financial Markets Association) published its last paper in 2005. The financial crisis, globalization, the use of new technologies, and new, complex and expanded regulatory requirements have significantly altered securities firms and the operations of their Compliance functions. This change has led to an enhanced [...]
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SIFMA CEO Ryan: JP Morgan Not Suffering “Risk Issue”
Bloomberg TV featured SIFMA CEO Timothy Ryan who discusses the Volker Rule and JP Morgan Chase $2 Billion trading loss as a “mistake”. Ryan speaks with Betty Liu on Bloomberg Television’s “In the Loop.” (Source: Bloomberg) While the JP Morgan trading loss wasn’t a regulatory compliance issue , it does indicate an enterprise risk management [...]
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SIFMA Tech Leaders Forum 2012
ProcessUnity will be attending the SIFMA Tech Leaders Forum 2012 and Expo June 19-21, 2012 at the Hilton New York. Program Tuesday, June 19, 2012 Time Description 7:30 a.m. – 8:30 a.m. CONFERENCE REGISTRATION OPENS / ATTENDEE BREAKFAST 9:00 a.m. – 6:00 p.m. EXHIBIT HALL OPENS 8:30 a.m. – 10:30 a.m. GENERAL SESSIONS 8:30 a.m. [...]
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