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 Financial Services is about making money — lots of money. Failure to follow mandated rules and regulations can and will rob you of these profits and, at worst, destroy reputations and careers. The shifting regulatory landscape only makes this task increasingly difficult. Rules and rule enforcement procedures change every day. Exchanges rush to merge or capitalize on the robust IPO markets by going public. Self Regulatory Organizations, or SROs, are hard to identify without a scorecard. Our Mission: Be Ready! Compliance Insights seeks to provide information, insights and direction that may enable the Financial Services Community to effectively and efficiently operate in a regulatory risk-free environment. Initially concentrating on a broad compliance theme, Compliance Insights will become an essential resource for anyone who works with or needs to know the rules and regulations in financial services. As we have seen, regulatory transgressions, intentional or otherwise, occur at all levels of an organization and at all stages of a transaction cycle. That is why membership is open to all associated persons of all financial services firms — CEOs, COOs, CFOs, compliance, legal and internal audit professionals, traders, sales persons, bankers, and persons in operations and infrastructure functions. Our doors also are open to persons associated with entities that provide products and services to the industry, including attorneys, consultants, service bureaus, vendors and membership organizations, as well as educators and others. Regulators need not apply.  Howard Haykin, Founder and Managing Director of Compliance Insights, has 25 years experience in financial services. Howard has served in compliance, audit and senior management capacities for broker-dealers, investment advisors and mutual fund families. Since 1996, Howard has operated Compliance Solutions Inc., the regulatory consulting firm that published the newsletter, Monthly Solutions. As a regulatory consultant, he conducted mock exams, wrote compliance and supervisory manuals and represented firms and their associated persons during regulators' exams and investigations. Clients included Ameriprise Financial Services, Bear Stearns and the GFI Group. Howard also wrote articles for Traders Magazine, appeared on CNBC and was an invited speaker at the SIA and NASD. Howard served as Vice President for compliance and internal audit with Nomura Securities International and Fidelity Investments, respectively, and continues to serve as an Industry Arbitrator with the NASD and NYSE. Earlier in his career, Howard was President of Louis Nicoud & Associates, a NYSE firm, supervised internal audit for a global broker-dealer, and administered compliance for three (3) families of mutual funds. He began his career as a CPA with Deloitte & Touche, and holds an MBA degree in Accounting and a Bachelor of Arts Degree in Economics. Howard lives and works in New York City, and is actively involved in community activities. |