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	<title>CEI Compliance Consultancy &#187; broker</title>
	<atom:link href="http://cei-compliance-limited.co.uk/blog/tag/broker/feed/" rel="self" type="application/rss+xml" />
	<link>http://cei-compliance-limited.co.uk/blog</link>
	<description>UK Financial Services Regulatory Compliance Consultancy Briefing</description>
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		<item>
		<title>JPMorgan returns $168m to MF trustee</title>
		<link>http://cei-compliance-limited.co.uk/blog/jpmorgan-returns-168m-to-mf-trustee/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/jpmorgan-returns-168m-to-mf-trustee/#comments</comments>
		<pubDate>Fri, 18 May 2012 21:11:32 +0000</pubDate>
		<dc:creator>lws166.co.uk</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[missing-customer]]></category>
		<category><![CDATA[missing-since]]></category>
		<category><![CDATA[not-part]]></category>
		<category><![CDATA[since-the-broker]]></category>
		<category><![CDATA[the-broker-dealer]]></category>
		<category><![CDATA[the-more]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/jpmorgan-returns-168m-to-mf-trustee/</guid>
		<description><![CDATA[The money is not part of the more than $1bn in missing customer cash that has been missing since the broker-dealer filed for bankruptcy in October]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>The money is not part of the more than $1bn in missing customer cash that has been missing since the broker-dealer filed for bankruptcy in October</p>
<p>Read more:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/e8e808bc-a126-11e1-aac1-00144feabdc0.html?ftcamp=published_links/rss/companies_financial-services/feed//product" title="JPMorgan returns $168m to MF trustee">JPMorgan returns $168m to MF trustee</a></p>
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		<title>MF Global won praise for risk handling</title>
		<link>http://cei-compliance-limited.co.uk/blog/mf-global-won-praise-for-risk-handling/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/mf-global-won-praise-for-risk-handling/#comments</comments>
		<pubDate>Tue, 27 Mar 2012 21:05:37 +0000</pubDate>
		<dc:creator>morven.griersons4plc.co.uk</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[before-its]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[financial]]></category>
		<category><![CDATA[five-months]]></category>
		<category><![CDATA[risk management]]></category>
		<category><![CDATA[robust-enterprise-wide]]></category>
		<category><![CDATA[the-broker-dealer]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/mf-global-won-praise-for-risk-handling/</guid>
		<description><![CDATA[Promontory Financial found that the broker-dealer had a ‘robust enterprise-wide risk management’ programme, five months before its bankruptcy]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Promontory Financial found that the broker-dealer had a ‘robust enterprise-wide risk management’ programme, five months before its bankruptcy</p>
<p>See original here:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/8844c36c-7825-11e1-b237-00144feab49a.html?ftcamp=published_links/rss/companies_financial-services/feed//product" title="MF Global won praise for risk handling">MF Global won praise for risk handling</a></p>
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		<title>Rate of change</title>
		<link>http://cei-compliance-limited.co.uk/blog/rate-of-change/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/rate-of-change/#comments</comments>
		<pubDate>Fri, 23 Mar 2012 11:00:00 +0000</pubDate>
		<dc:creator>greg.mcveyhiteclabs.com</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[fiasco]]></category>
		<category><![CDATA[funds-booking]]></category>
		<category><![CDATA[one-particular]]></category>
		<category><![CDATA[reduced-grown]]></category>
		<category><![CDATA[table-border]]></category>
		<category><![CDATA[the-broker]]></category>
		<category><![CDATA[the-fiasco]]></category>
		<category><![CDATA[these-last]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/rate-of-change/</guid>
		<description><![CDATA[Despite the distinct scent of spring in the air, the broker community has taken some body blows these last few weeks. Many favoured lenders have adjusted criteria in ways that in certain instances make little sense, dual-pricing has made a comeback and the fiasco surrounding the “funds booking” of one particular lender has reduced grown men to tears. ]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Despite the distinct scent of spring in the air, the broker community has taken some body blows these last few weeks. Many favoured lenders have adjusted criteria in ways that in certain instances make little sense, dual-pricing has made a comeback and the fiasco surrounding the “funds booking” of one particular lender has reduced grown men to tears. </p>
<p><img src="http://rss.feedsportal.com/c/342/f/538952/s/1db7fc68/mf.gif" /></p>
<p>Read more from the original source:<br />
<a target="_blank" href="http://rss.feedsportal.com/c/342/f/538952/s/1db7fc68/l/0L0Smoneymarketing0O0Cmortgages0Crate0Eof0Echange0C10A485660Barticle/story01.htm" title="Rate of change">Rate of change</a></p>
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		<title>CME was subpoenaed in probe of MF Global</title>
		<link>http://cei-compliance-limited.co.uk/blog/cme-was-subpoenaed-in-probe-of-mf-global/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/cme-was-subpoenaed-in-probe-of-mf-global/#comments</comments>
		<pubDate>Tue, 28 Feb 2012 18:50:35 +0000</pubDate>
		<dc:creator>greg.mcveyhiteclabs.com</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[chicago]]></category>
		<category><![CDATA[federal]]></category>
		<category><![CDATA[grand-jury]]></category>
		<category><![CDATA[potential-wrongdoing]]></category>
		<category><![CDATA[the-broker-dealer]]></category>
		<category><![CDATA[the-federal]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/cme-was-subpoenaed-in-probe-of-mf-global/</guid>
		<description><![CDATA[Move by a Chicago grand jury and Washington regulators was part of the federal probe into potential wrongdoing in the broker-dealer’s collapse]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Move by a Chicago grand jury and Washington regulators was part of the federal probe into potential wrongdoing in the broker-dealer’s collapse</p>
<p>Excerpt from:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/0c35c6a4-6231-11e1-820b-00144feabdc0.html?ftcamp=published_links/rss/companies_financial-services/feed//product" title="CME was subpoenaed in probe of MF Global">CME was subpoenaed in probe of MF Global</a></p>
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		<title>Jefferies confirms Hoare Govett acquisition</title>
		<link>http://cei-compliance-limited.co.uk/blog/jefferies-confirms-hoare-govett-acquisition/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/jefferies-confirms-hoare-govett-acquisition/#comments</comments>
		<pubDate>Wed, 01 Feb 2012 20:01:13 +0000</pubDate>
		<dc:creator>greg.mcveyhiteclabs.com</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[amid-the-gloom]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[gloom]]></category>
		<category><![CDATA[historic-name]]></category>
		<category><![CDATA[investment-bank]]></category>
		<category><![CDATA[take-the-broker]]></category>
		<category><![CDATA[the-broker]]></category>
		<category><![CDATA[the-gloom]]></category>
		<category><![CDATA[will-take]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/jefferies-confirms-hoare-govett-acquisition/</guid>
		<description><![CDATA[The US-based investment bank, confident of expanding amid the gloom, will take the broker’s historic name, clients and about 50 staff]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>The US-based investment bank, confident of expanding amid the gloom, will take the broker’s historic name, clients and about 50 staff</p>
<p>Follow this link:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/85639cac-4c12-11e1-b1b5-00144feabdc0.html?ftcamp=rss" title="Jefferies confirms Hoare Govett acquisition">Jefferies confirms Hoare Govett acquisition</a></p>
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		<title>Nomura: bank is Bhattal weary</title>
		<link>http://cei-compliance-limited.co.uk/blog/nomura-bank-is-bhattal-weary/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/nomura-bank-is-bhattal-weary/#comments</comments>
		<pubDate>Tue, 10 Jan 2012 16:27:44 +0000</pubDate>
		<dc:creator>leewerrellyahoo.com</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[ambition-over]]></category>
		<category><![CDATA[bhattal]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[execution-ability]]></category>
		<category><![CDATA[its-surfeit]]></category>
		<category><![CDATA[jesse-bhattal]]></category>
		<category><![CDATA[latest]]></category>
		<category><![CDATA[the-broker]]></category>
		<category><![CDATA[the-latest]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/nomura-bank-is-bhattal-weary/</guid>
		<description><![CDATA[Jesse Bhattal, the broker’s wholesale banking chief, is the latest casualty of its surfeit of international ambition over execution ability]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Jesse Bhattal, the broker’s wholesale banking chief, is the latest casualty of its surfeit of international ambition over execution ability</p>
<p>Read the rest here:<br />
<a target="_blank" href="http://www.ft.com/cms/s/3/7e860550-3b96-11e1-bb39-00144feabdc0.html?ftcamp=rss" title="Nomura: bank is Bhattal weary">Nomura: bank is Bhattal weary</a></p>
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		<title>Corzine counters CME chief’s testimony</title>
		<link>http://cei-compliance-limited.co.uk/blog/corzine-counters-cme-chiefs-testimony/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/corzine-counters-cme-chiefs-testimony/#comments</comments>
		<pubDate>Thu, 15 Dec 2011 21:04:44 +0000</pubDate>
		<dc:creator>lws166.co.uk</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[chief-executive]]></category>
		<category><![CDATA[global]]></category>
		<category><![CDATA[knew-the-broker]]></category>
		<category><![CDATA[lent-customer]]></category>
		<category><![CDATA[rebuts-the-testimony]]></category>
		<category><![CDATA[terry]]></category>
		<category><![CDATA[terry-duffy]]></category>
		<category><![CDATA[testimony]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/corzine-counters-cme-chiefs-testimony/</guid>
		<description><![CDATA[Former chief executive of MF Global rebuts the testimony of Terry Duffy, who repeated that he knew the broker-dealer lent customer funds to an affiliate]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Former chief executive of MF Global rebuts the testimony of Terry Duffy, who repeated that he knew the broker-dealer lent customer funds to an affiliate</p>
<p>Go here to read the rest:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/5255fcec-2750-11e1-864f-00144feabdc0.html?ftcamp=rss" title="Corzine counters CME chief’s testimony">Corzine counters CME chief’s testimony</a></p>
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		<title>Corzine forced to testify to US Congress</title>
		<link>http://cei-compliance-limited.co.uk/blog/corzine-forced-to-testify-to-us-congress/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/corzine-forced-to-testify-to-us-congress/#comments</comments>
		<pubDate>Fri, 02 Dec 2011 18:22:44 +0000</pubDate>
		<dc:creator>greg.mcveyhiteclabs.com</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[corzine]]></category>
		<category><![CDATA[global]]></category>
		<category><![CDATA[the-broker-dealer]]></category>
		<category><![CDATA[the-causes]]></category>
		<category><![CDATA[the-former]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/corzine-forced-to-testify-to-us-congress/</guid>
		<description><![CDATA[Jon Corzine, the former head of MF Global, will be forced to attend a hearing into the causes of the broker-dealer's collapse]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Jon Corzine, the former head of MF Global, will be forced to attend a hearing into the causes of the broker-dealer&#8217;s collapse</p>
<p>See the article here:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/ee7a3b2a-1cfa-11e1-8daf-00144feabdc0.html?ftcamp=rss" title="Corzine forced to testify to US Congress">Corzine forced to testify to US Congress</a></p>
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		<title>Primary dealers braced for tougher capital rules</title>
		<link>http://cei-compliance-limited.co.uk/blog/primary-dealers-braced-for-tougher-capital-rules/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/primary-dealers-braced-for-tougher-capital-rules/#comments</comments>
		<pubDate>Wed, 09 Nov 2011 23:16:10 +0000</pubDate>
		<dc:creator>leewerrellyahoo.com</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[after-the-broker]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[daily-market]]></category>
		<category><![CDATA[fall-prompts]]></category>
		<category><![CDATA[global]]></category>
		<category><![CDATA[helping-the-fed]]></category>
		<category><![CDATA[manage-its]]></category>
		<category><![CDATA[only-two]]></category>
		<category><![CDATA[the-broker-dealer]]></category>
		<category><![CDATA[years-helping]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/primary-dealers-braced-for-tougher-capital-rules/</guid>
		<description><![CDATA[MF Global's fall prompts reassessment by US officials after the broker-dealer survived for only two years helping the Fed manage its daily market operations]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>MF Global&#8217;s fall prompts reassessment by US officials after the broker-dealer survived for only two years helping the Fed manage its daily market operations</p>
<p>Read more:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/3acc0a28-0a4d-11e1-92b5-00144feabdc0.html?ftcamp=rss" title="Primary dealers braced for tougher capital rules">Primary dealers braced for tougher capital rules</a></p>
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		<title>Recriminations fly after fall of MF Global</title>
		<link>http://cei-compliance-limited.co.uk/blog/recriminations-fly-after-fall-of-mf-global/</link>
		<comments>http://cei-compliance-limited.co.uk/blog/recriminations-fly-after-fall-of-mf-global/#comments</comments>
		<pubDate>Mon, 31 Oct 2011 22:03:29 +0000</pubDate>
		<dc:creator>lws166.co.uk</dc:creator>
				<category><![CDATA[Mumbles]]></category>
		<category><![CDATA[after-the-broker]]></category>
		<category><![CDATA[bankruptcy-protection]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[extricate-positions]]></category>

		<guid isPermaLink="false">http://cei-compliance-limited.co.uk/blog/recriminations-fly-after-fall-of-mf-global/</guid>
		<description><![CDATA[Customers and counterparties struggle to extricate positions after the broker-dealer filed for bankruptcy protection]]></description>
			<content:encoded><![CDATA[<div class="bblitz_prefix">Another Article</div><p>Customers and counterparties struggle to extricate positions after the broker-dealer filed for bankruptcy protection</p>
<p>More here:<br />
<a target="_blank" href="http://www.ft.com/cms/s/0/8c81053a-03cc-11e1-bbc5-00144feabdc0.html?ftcamp=rss" title="Recriminations fly after fall of MF Global">Recriminations fly after fall of MF Global</a></p>
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