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March 2016

Feature Article

Striking a balance in the presence of whistleblower programs

by Jim Toes

At a recent industry conference held in Boca Raton, the CFTC took a booth at the event's vendor fair. It is a good thing when regulators have outreach efforts and normally I would be very supportive of the CFTC's actions if not for the matter that they prominently featured their whistleblower program. In full disclosure, I did not attend this conference and therefore did not see the booth. However it was brought to my attention on an unsolicited basis which speaks to the success in the messaging.

There are multiple factors that contribute to an effective compliance regime. Two, require a sort of balance which at times is difficult to achieve due to a natural conflict between them. They are; the relationships that chief compliance officers (CCOs) have with regulators and whistleblower programs operated by regulators. Striking a proper balance between these factors contributes positively towards a regulatory regime which protects the interests of investors. An over reliance on or under investment in one will undoubtedly create problems and cause long term harm.

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Women in Finance

STA Affiliates and Women in Finance Partner for National Clothing Drive

STA Affiliates throughout the United States and Canada will be collecting nearly new or gently used women's professional clothing and accessories. With the help of retail partners such as Rebecca Taylor, Brooks Brothers, Saks Fifth Avenue, and corporate sponsors such as Bank of America Merrill Lynch, STA Affiliates will host events where donations can be made. Various regional donation drops will also be available to support this cause.

"STA and its Women in Finance (WIF) are excited to kick-off their diversity platform and launch its first national campaign with efforts geared toward charitable giving. We are grateful to have received resounding enthusiasm for this campaign from our Affiliates across the continent," states Natalie Carpenter of Longbow Research and STA Board Governor.

Go to our website to view event details near you >

News From the Hill

Chair White Keynote Address at the Mutual Fund Directors Forum 2016 Policy Conference - 3.29.16

From the perspective of the SEC's mission to protect investors, there could hardly be anything more important than strong mutual fund boards when more than 53 million households - approximately 43 percent of all U.S. households - owned mutual funds in 2015. Mutual fund investors are like anyone else-they find their time consumed by jobs, family obligations, and the myriad of other priorities we face in today's world.

Purchase a Washington DC Cherry Blossom Tie Today!


	Limited Supply

The STA Foundation is selling a limited supply of Washington DC Cherry Blossom ties made by Vineyard Vines.

The STA Foundation, a not-for-profit 501( c ) 3 corporation that was organized by the STA in 1990 and serves as the educational arm of STA Inc.

For a $100 donation you will receive a limited edition of the Vineyard Vines Cherry Blossom tie with the US Capitol image made exclusively to honor the annual Cherry Blossom Festival in Washington DC.

To make a donation, go here >

Open Call

Brought to you by Nasdaq

Venture Markets and Senate Hearing on SEC Nominees

On March 16th, the STA hosted an Open Call on venture markets and the Main Street Growth Act (H.R. 4638) which would allow for the creation of venture exchanges. All attendees received a complimentary report on the Senate Banking nomination hearing for Lisa Fairfax and Hester Peirce to the Securities & Exchange Commission.

Presenter:

Cromwell Coulson

President, Chief Executive Officer and Director

OTC Markets

Call Notes Here >

Taking Stock

Brought to you by JonesTrading

Cool Hand Luke and Communicating

by Jim Toes

If stranded on a deserted island with only one movie to watch, Cool Hand Luke starring Paul Newman would undoubtedly be on my short list. Earlier this week, George Kennedy who received an Oscar for best supporting actor is his role as Dragline passed away at the age of 91. Upon hearing this I naturally retreated onto YouTube and played the more memorable scenes and lines that are forever burned into the minds of anyone who has seen the movie.

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Upcoming Events

Brought to you by KCG

The STA Events calendar keeps you informed on both national and local STA events. Join other security trading professionals to connect, learn and be inspired by the wide variety of panel discussions, keynote speakers, exhibitors and networking opportunities.