Managers of Wealth Americas

Appleby sponsors and presents at Fund Finance Symposium in New York

The firm, a market leader in the subscription finance space for over a decade, has sponsored this event since its inception.

NYSE to Pay $14 Million Penalty for Multiple Violations

“NYSE’s violation of the prior SEC order was a significant factor in assessing the civil penalties in this matter.”

Veretus Group Formally Launches in Washington, D.C. and London

Global investigations and strategic intelligence firm established to provide corporations, law firms, hedge funds, private equity firms, family offices and high-net-worth individuals with high-quality analysis and intelligence in support of their most cri

Finra Suspends Chief Compliance Officer Who Expunged Her Own Record

Murphy, who was registered as a financial and operations principal at two other firms in addition to Noble Capital, agreed to the sanctions without admitting or denying the fundings.

Guptas: Canadian bank refuses to take our money

The Hawks consider Ajay Gupta a fugitive after he failed to hand himself over for arrest.

‘Wolf of Wall Street’ Producer to Pay $60 Million in Settlement

The complaint targeting the 2013 picture, directed by Martin Scorsese, is among more than two dozen forfeiture lawsuits filed by the U.S. against $1.7 billion assets that were allegedly acquired with money stolen from 1Malaysia Development Bhd.

Mexico financial technology law passes final hurdle in Congress

Regulators will soon begin crafting so-called secondary laws, which will determine key details for companies in the sector.

SEC Investigates Overstock Token Sale, Shares Slide

It announced the ICO launch in October last year and said at the time the offering would be legally compliant with SEC rules using an instrument called the Simple Agreement for Future Tokens.

Wells Fargo reviews wealth business for possible customer abuse: filing

The U.S. Justice Department instructed Wells Fargo in late 2017 to investigate its wealth management business

Cryptocurrency Firms Targeted in SEC Probe

Regulator issues subpoenas to parties engaged in booming market for initial coin offerings

US Prosecutors Focus on Antiquities

Also on January 5, 2018, investigators from the Manhattan DA’s office seized six artifacts from New York antiquities dealers Phoenix Ancient Art.

OECD and Brazil launch project to examine differences in cross-border tax rules

The project we are launching today will enable us to better understand the options for improving the application of transfer pricing rules in Brazil, and achieving greater convergence.

The importance of upholding a uniform Fiduciary Standard of Care - SS&C

A procedural prudence standard and a suitability standard are similar in that they both require the fiduciary to demonstrate they are acting in best interests of another.

Leveraging outsourcing to meet rising AUM - SS&C

SS&C has been providing global, middle- and back-office and performance measurement outsourcing services for more than 20 years.

$100m fortune is worthless when you’re in a jail

Roomy Khan, who was jailed for financial crime in US, says a professional culture encouraging fraud led her to insider trading

U.S. asset manager to press gunmakers on safety efforts

The statement also said State Street will monitor the companies’ lobbying activities.

Supreme court narrows whistleblower protections under dodd frank

The Court’s opinion in Digital Realty v. Somers[2] resolved a circuit split between the Ninth and Second Circuits, on the one hand, which had agreed with the SEC’s interpretation, and the Fifth Circuit, on the other.

Statement on Cybersecurity Interpretive Guidance

There is no doubt that the cybersecurity landscape and the risks associated with it continue to evolve.

FCA and US CFTC ink FinTech innovation deal

The Financial Conduct Authority and the US Commodity Futures Trading Commission (CFTC) have today signed an arrangement that commits the regulators to collaborating and supporting innovative firms through each other’s financial technology initiative

Two Sentenced in $10 Million Investment Fraud Scheme

More Than 60 Victims Left in the Lurch

Legal, Regulation & Compliance