US firms poach reg workers

REGULATORY UPDATE

At the second annual NYSE Regulation securities conference held in mid-June in New York, the self-regulatory organisation (SRO) said it was worried at the rate firms were recruiting regulatory staff in a bid to stay in compliance with securities laws.

"We understand that when you want to understand what regulators expect, the first place you look is the regulatory agency, but this has become my number one worry as a regulator," said Grace Vogel, the executive vice-president for member firm

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact info@risk.net or view our subscription options here: http://subscriptions.risk.net/subscribe

You are currently unable to copy this content. Please contact info@risk.net to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Risk.net? View our subscription options

Register

Want to know what’s included in our free membership? Click here

This address will be used to create your account

You need to sign in to use this feature. If you don’t have a Risk.net account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here