Saturday, 28 November 2015
Last updated 1 day ago
Dec 1 2006 | 12:55pm ET
John McCarthy, associate director at the Securities and Exchange Commission’s office of compliance inspections and examinations, will leave the agency later this month, according to the Commission. McCarthy is joining an unnamed privately-held proprietary-trading firm with offices in New York, London and Chicago.
McCarthy joined the Commission's staff in 1992 as a staff attorney and became an associate director of OCIE's market oversight unit in 2000. During his tenure, McCarthy supervised and conducted inspections and examinations that involved a wide range of issues including best execution, order handling, research analyst conflicts, market-timing and late-trading, fixed-income trading, floor trading and ATS compliance.
Oct 21 2015 | 10:41am ET
One of the most unique charity benefits in the hedge fund industry, A Leg To Stand On's (ALTSO's) Hedge Fund Rocktoberfest - NYC, raised nearly $500,000 last Thursday thanks to the generous support of major sponsors and nearly 1,400 attendees from the Tri-State finance, business and hedge fund communities. Read more…