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Legal, Regulation & Compliance

09/09/2018

A Russian Who Allegedly Hacked Into JPMorgan Chase's Servers Is Now in U.S. Custody

What the earlier court filings didn’t disclose was the identity of the central hacker—revealed finally in an unsealed indictment on Friday as Tyurin.

09/07/2018

Finally, a judgment against CRA for negligence in audit of business

Court finds tax collector took certain positions for strategic reasons rather than good faith legal reasons. There will be an appeal

09/05/2018

SocGen expects to pay €1.1 billion in US sanctions fines

Societe Generale has been caught up in around a dozen probes and lawsuits in recent months.

09/05/2018

Burns & Levinson Partners Named 2018 Women Worth Watching

The PDJ "Women Worth Watching" awards celebrate the achievements and personalities of leading women across a multitude of industries who represent diversity within their spheres of influence.

09/04/2018

JD CEO's arrest steps on governance landmine

What’s more, in a further abuse of good governance practices, Liu holds the chairman’s seat as well as serving as CEO.

09/04/2018

Setback for Irish developer seeking return of passport

Mr Kelleher says he had no knowledge of the injunction when he funded the Cayman litigation.

09/04/2018

JPMorgan Will Pay $24 Million to End Lawsuit From Black Advisers

Instead of fighting it in court, the bank agreed to pay $19.5 million to the members of the class, according to Aug. 31 filings.

09/03/2018

Why are Bank of America customers being questioned about their citizenship status?

The bank said in a statement obtained by the paper that it "may periodically request information, such as country of citizenship and proof of US residency".

09/03/2018

Financial system risk is elevated and global standards are essential in managing cross-border infrastructure investment

The report says the financial outlook will also be shaped by China’s ability to manage risks relating to high indebtedness and leverage in its banking, shadow banking and wealth management industries.

08/31/2018

IP Pressures Could Fuel More Law Firm Mergers

Venable and Fitzpatrick Cella, one of the largest IP boutiques in the country, revealed plans for the combination last week.

08/30/2018

JPMorgan sues $14B Merrill team for 'bad-mouthing'

JPMorgan accuses the advisors of "bad-mouthing JPMorgan" to clients by making false statements about the firm's ability to serve investors.

08/30/2018

Thompson Hine Recognized Again in Chambers High Net Worth Guide

“They do an excellent job, they’re present in the market, they’re known, and they have a reputation as being top-flight attorneys with broad skill sets.”

08/30/2018

SA tech entrepreneur charged for fraud in New York amid shocking allegations of how he may have lied and cheated to get money

A SA entrepreneur has been charged for fraud in the US as the authorities there accuse him of stealing almost R9 million from investors in a “massive securities fraud scheme”.

08/29/2018

DOJ wants to exclude expert testimony proposed by ex-Deutsche Bank traders in LIBOR-rigging case

The defendants’ proposed expert testimony as to the adequacy of the government’s discovery, establishment of the conspiracy, and benefit or harm to Deutsche Bank’s counterparties is incurably improper, the DOJ argues.

08/29/2018

CFTC orders UBS to pay USD15m penalty for attempted manipulation and spoofing of precious metals futures

Today’s enforcement action demonstrates the Commission’s continued commitment to root out manipulation and spoofing in our markets

08/29/2018

Swiss bank makes $60M deal with US over hidden accounts

Bank Admits to Helping U.S. Taxpayers Conceal Income and Assets from the United States; Agrees to Pay $60.4 Million

08/28/2018

SEC orders asset manager to pay $97m over ‘faulty’ models

The errors related to models used by the subadvisor of the products, Aegon USA Investment Management, from July 2011 to June 2015.

08/27/2018

Global Economy / Are U.S. regulations functioning 10 years after Lehman collapse?

The epicenter of the global crisis was Wall Street in New York.

08/24/2018

Brokers, advisers and insurance agents implicated in alleged $100 million investment fraud

In all, around 370 advisers sold the Future Income Payments, according to plaintiff's attorneys

08/23/2018

Fintech Without Borders: Regulators Consult on Global Financial Innovation Network

The Consultation builds on the FCA’s proposal earlier this year to create a “global sandbox” for innovative financial services firms.

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