Dodd-Frank compliance


In a recent meeting with a couple of senior derivatives dealers, one of them – who heads trading in Europe for a large, international bank – complained his employer had started requiring him to sign off on the activities of his team on a daily basis, affirming they were all behaving themselves and not breaking the law. That’s a team of 400 or so people, spread across a number of offices. The same measures are being introduced across asset classes and at other banks, as senior management try to c

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