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Editors

Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

‘Misconduct is an outlier in an ethical culture’

The SEC’s associate director of enforcement, Stephen L. Cohen, left, had some great things to say when he spoke this week at the SCCE Annual Conference in Washington D.C.

Here’s part of what he said:

                 *     *     *

I am surprised how infrequently companies try to persuade us at the front end of an investigation that they have a robust compliance culture and record of ethical conduct.… Continue Reading

JP Morgan China hirings trigger SEC probe

The SEC is investigating whether JP Morgan Chase violated the FCPA by hiring two children of Chinese officials to win business.

The New York Times reported Saturday that the investment bank hired the son of the chairman of the China Everbright Group, a China state-controlled conglomerate, and won business from the group that included a stock offering by a subsidiary.… Continue Reading

Job: Compliance Manager

Job Title: Compliance Manager

Employer: JPMorgan Chase

Location: New York, NY

Job Scope: In this position, you will be the Compliance Officer reporting to the Chief Compliance Officer for One Equity Partners, JPMorgan Chase’s private equity investment arm with $14 billion under management and offices in New York, Frankfurt, Vienna, Sao Paolo, and Hong Kong.… Continue Reading