Archive for the “News” Category

FINRA 2015 Priorities For Broker-Dealers

Posted on January 9th, 2015 by Elin Cherry

Now that You’ve Seen FINRA’s Exam Priorities – How About Some Practical Guidance? On January 6, 2015 FINRA published its 10th annual Regulatory and Examinations Letter. Although 17 pages and dense, when broken down it is a roadmap for broker-dealers as to actions they can take now to reduce regulatory risk in 2015. Most broker-dealers […]

The 2015 Affordable Care Act

Posted on December 16th, 2014 by Greg DiFalco

Are you prepared to handle the new requirements for the Affordable Care Act ? Under the law, a new “Patient’s Bill of Rights” provides protection for covered individuals and their dependents. Employers need to be aware of these requirements, and employees should understand their entitlements. I

Jason Wachtel talks to Compliance Week about desired skills for compliance officers

Posted on November 18th, 2014 by Kristy Wright Skeehan

In today’s Compliance Week, JW Michaels Managing Partner Jason Wachtel discussed the need for compliance officers to have excellent leadership and communication skills. “Companies are seeking compliance leaders who have the ability to influence others, communicate effectively, and build relationships with a wide range of internal and external stakeholders, including regulators. “So you want that […]

JW Michaels named the 20th fastest growing small business in NYC by Symmetry50

Posted on November 4th, 2014 by Kristy Wright Skeehan

  On October 28, JW Michaels & Co. was ranked as the 20th fastest growing company on Symmetry50’s annual list of the top 5o fastest growing small businesses in New York City. Learn more about how JW Michaels has become so successful and see the full list of companies on Symmetry50’s blog:

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Shift Happens | Corporate Culture For Compliance Hiring

Posted on September 11th, 2014 by Kristy Wright Skeehan

Alternative asset managers are starting to take regulatory compliance more seriously, with a spike in hiring of compliance professionals this year. The shift comes even amid evidence that some managers, especially smaller ones, seem to take a dismissive view toward compliance – an attitude that experts say could cost them dearly in the long run.

JW Michaels ranked #792 on the 2014 Inc. 5000 list

Posted on August 21st, 2014 by Kristy Wright Skeehan

On Wednesday, August 20, Inc. magazine released it’s annual list of the top fastest growing privately held companies. JW Michaels was ranked #792 on the list of 5,000. Inc. has been ranking private companies for 33 years, so this is quite an honor! We would like to thank all our clients and candidates for making […]

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Wall Street Journal: Hire Compliance Now, or Get Fined Later

Posted on July 11th, 2014 by Jason Wachtel

This article originally published in the Wall Street Journal : The Morning Risk Report The boom in the hiring of chief compliance officers and mid-level compliance staff is driven by not only an explosion of rules and regulations but by the fear of becoming the next poster child for wrongdoing, says an executive at a […]

RCA Extends Special Recognition to Jason Wachtel, Managing Partner of JW Michaels & Co.

Posted on July 8th, 2014 by Kristy Wright Skeehan

The Regulatory Compliance Association (RCA), and its 78,000 asset management executive members have commended JW Michaels for its endowment of RCA’s myUniversity and PracticEdge Curricula. Specifically, the RCA extended a special accommodation to managing partner Jason Wachtel as the Senior Fellow from Practice for “Compensation Trends in Alternative Asset Management,” an RCA PracticEdge session Jason led in February. The […]

BNP Paribas nearing settlement over sanctions violations

Posted on June 25th, 2014 by Kristy Wright Skeehan

The compliance world is busy talking about the recent news that French bank BNP Paribas SA will likely pay a record fine of over $8 billion as part of a settlement with the Justice Department over violations of sanctions related to Sudan. Bloomberg reports that BNP Paribas conducted billions of dollars of illegal transactions on behalf […]