Remove 2005 Remove Compliance Remove License
article thumbnail

Worst Performing Stocks in India For 5 Years!

Trade Brains

Worst Performing Stocks in India – PC JEWELLERS PC Jewellers was founded by Mr. Padam Chand Gupta in 2005. The majority of the issues related to Yes Bank were related to corporate governance and compliance. The carrier also lost its flying license during the period. Where Did It All Go Wrong for Yes Bank?

Banking 52
article thumbnail

Transcript: Brian Hamburger

The Big Picture

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

Transcript: Jonathan Miller

The Big Picture

And so it’s become more and more heated to the point where the appraisal subcommittee, which is allowed to monitor and review the appraisal foundation, the appraisal foundation is basically to maintain the verbiage of our license, our certification, what we’re supposed to do. Just revised the cover. ” MILLER: Yeah.

Sales 130
article thumbnail

Transcript: Corey Hoffstein on Return Stacking  

The Big Picture

This was the era, 2005, 2006, all of my friends were looking to get banking roles. Would you license these models to me? You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. Barry Ritholtz : That’s hilarious.

Portfolio 147