Managers of Wealth Americas

Regulators Didn’t Speak to US Fund at Heart of Segantii Trial

It was the latest chapter in a trial that has already thrown the spotlight on how hedge funds and Wall Street banks talk ahead of deals

Mastercard secures New York BitLicense

New York’s BitLicense framework establishes comprehensive requirements related to consumer protection, cybersecurity, financial integrity and operational resilience.

FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securities

Pictet Overseas Ordered to Pay $610,000; Blue Ocean Ordered to Pay $550,000

Suntera Global completes Experienced Advisory Consultants acquisition

Commenting on the completion of the transaction, David Hudson (pictured), CEO of Suntera Global, said: “Continuing to expand and strengthen our footprint in the US market remains a key objective for Suntera

Victims Claim JPMorgan, Bank of America Should Have Caught Signs of $328M Crypto Scam

Lawsuit claims financial institutions failed to detect red flags in Christopher Delgado's $328 million Goliath Ventures fraud scheme that ran for three years.

FINRA to Review of 'Higher-Risk' Structured Products

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

UK man agrees to plead guilty in ‘Singapore Solution’ tax evasion case, say US prosecutors

Roderic Sage has been ordered to be extradited from the UK and will appear late next week in Manhattan federal court, prosecutors told a judge in a letter on Thursday (Apr 30).

SEC charges day trader with running $43 million Ponzi-like scheme

He promised up to 40% returns. The SEC says he never had a single profitable year.

Canadian banking regulator to review big banks' private credit exposure

Banks are increasing the use of NBFIs, or non-bank financial institutions, to provide credit protection on their lending portfolios using synthetic risk transfers and other arrangements.

Wall Street Watchdogs Pull Back Amid Trump’s Deregulatory Push

President Trump’s push for deregulation is reshaping finance, from crypto to banking, sparking concerns over risks and regulatory gaps.

Handler Law, LLP Named 2026 Best Estates & Trusts Law Firm in the United States at Private Asset Management Awards

Further recognized with shortlistings in multiple categories at the 2026 Family Wealth Report Awards

Court Upholds $133M FINRA Award Against Stifel

The order agrees with a magistrate judge’s recommendation last month that the court deny Stifel’s motion to vacate the award.

Brazil Freezes Crypto Tax Rules

The consultation now on hold would have addressed the additional foreign exchange dimension introduced by the central bank's November classification.

Banking Regulators Plan to Ease Some Capital Requirements

The Federal Reserve and other financial regulators will soon release proposals to loosen some planned rules on how much capital banks must hold in reserve to mitigate risks.

Ex-Merrill Broker Clears Record of ‘Spurious’ Customer Claim

The clients had questioned whether Mariash had acted in their best interest when advising them on the transfer and purchase of equity indexed and variable annuities, according to the award.

Nyse fined $9 million by SEC over trading glitch

The Securities and Exchange Commission has fined the New York Stock Exchange $9 million for a trading glitch that disrupted opening auctions for more than 2,800 securities.

House Subcommittee Considers Bill to Fold FINRA into SEC

During a hearing before the House Committee on Financial Services, lawyers testified on the effectiveness of FINRA, as the committee considers a bill to transfer the agency's responsibilities to the SEC.

Brazil’s Supreme Court orders the arrest of former head of Banco Master

Police said it was carrying out four arrest warrants and 15 search and seizure warrants issued by the Supreme Court in the states of Sao Paulo and Minas Gerais.

JPMorgan fined €12.18 million by ECB for gross neglience in risk reporting

As a result of the miscalculations, the bank reported higher capital ratios than it should have done, leaving the central bank in the dark as to its accurate risk exposure.

Federal Reserve set to loosen US bank rules in attempt to boost mortgage lending

Central bank plans to ease capital requirements in an effort to shift home lending back to banks, top official says

Legal, Regulation & Compliance