Investment Banking Back Office and Middle Office Compliance by Matt - March 6, 2019March 6, 20200 What is the Difference Between Front and Middle and Back Office for an Investment Bank? There are a lot of jobs in investment banks that are not front office roles. What is a front office job? What is a back office job? What is holla back office? (Don't ever say that) These lines
Compliance at Large Banks Compliance by Matt - July 9, 2018January 29, 20200 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
Financial Regulatory Bodies in Hong Kong Compliance Hong Kong by Karl - February 16, 2017February 16, 20200 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 Compliance Equity Capital Markets by Matt - August 29, 2016January 29, 20200 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