As with our previous intellectually lazy piece, we are just going to comment on some of the common experiences shared by investment bankers in the post financial crisis era. Mandatory Compliance Training Post-Lehman banks have undergone incredible regulatory and social pressure. As such, an enormous amount of money has been ploughed into
Compliance
Financial Regulatory Bodies in Hong Kong
There are three major financial regulatory bodies in Hong Kong. As new financial products were introduced to the markets and the sophistication of such products increased while wealth inflows expanded, the risks of malpractice grew in tandem. Financial regulators have a balancing act in order to promote the confidence in financial
Regulatory Regimes and Execution Bankers in Investment Banking
Dealing with securities is a highly regulated business (for obvious reasons, the money of common people is at stake) - as an investment banker in an execution group such as equity capital markets, mergers and acquisitions and debt capital markets, being able to understand the various regulatory hurdles, requirements and