Managers of Wealth Americas

Robeco: China’s AM regulations and US tax reform risks

“The new rules in China limit the south-bound investments and will therefore have a negative impact on the Hong Kong equity market,” said Robeco’s Victoria Mio.

Finra Bars Two Ex-Wells Fargo Reps

The scheme cost investors more than $800,000, according to the complaint.

Canadian regulators and ASIC sign fintech cooperation pact

The Innovation Hub provides the opportunity for entrepreneurs to understand how regulation might impact on them.

HSBC to Be Released From U.S. Deferred Prosecution Agreement

Controversial deal allowed the bank avoid criminal charges in 2012

Senate Tax Plan Could Also Hit Digital Wealth Advisers

Algorithms that prioritize sales of share lots that have lost value would become less effective

Morgan Stanley Fires Former Congressman

A Morgan Stanley spokeswoman confirms to HuffPost that the wirehouse fired Ford “for conduct inconsistent with our values and in violation of our policies.

SEC Continues Crackdown on Brokers Defrauding Customers

According to the SEC’s complaint, since the customers incurred significant costs with every transaction and the securities were held briefly, the price of the securities had to rise significantly for customers to realize even a minimal profit.

Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip

The whistleblower is the third awarded by the SEC in the past week.

Former UVA football player sentenced to 40 years in $10 million fraud case

This is essentially a case of theft,” Gibney said earlier Wednesday. The harm was not only to the victims’ finances, “but to their souls.

Former Hedge Fund Star Nehal Chopra Settles With SEC

The regulator says the Ratan Capital Management founder’s husband improperly shared investment recommendations with her and that she failed to disclose the arrangement with her clients.

JPMorgan, Santander partner in asset management in Brazil

Santander has 263 billion reais ($81.4 billion) in assets under management in Brazil

Canada urgently needs more trade with China, but big hurdles lie in its path

Canadian Prime Minister Justin Trudeau is on tour in China to discuss trade, but experts say hurdles stand in the way of major progress

Israeli Billionaire's $10b Dollar Lawsuit Against Soros Frozen by Judge

But U.S. court rejects request to dismiss case alleging defamation over Guinean mine read

Big U.S. banks in last-ditch push on regulatory relief bill

The bill offers little relief for many bigger lenders but lifts a significant burden for smaller banks and custodians.

US Trial Threatens Funding For Turkey's Dollar-Dependent Banks

Turkey's Deteriorating Finances Are Hurting The Country's Banks

US Charges 3 Chinese Nationals With Hacking, Stealing Intellectual Property From Companies

The Three Charged By The US Attorney In Pittsburgh Were Working For A Chinese Intelligence Contractor

Embattled Chicago Billionaire Flees When Served With Court Papers

A Private Detective Had Staked Out The Mansion Shah

Two charged in $150m Providence scam

The chief executive of Providence Companies Group has been federally indicted, along with its chief operating officer, for orchestrating a $150m (£112.5m, €125.8m) fraud that saw the firm’s operations in Guernsey and a Jersey-based IFA fi

House Republicans say they're close to a deal on a revised pension reform proposal

“It’s a very, very tight window. But ... until we get out of 2017 I think it’s still possible," he said.

Wells Fargo Whacked With (Another) 401k Fiduciary Suit

The beleaguered banks alleged self-dealing is under scrutiny

Legal, Regulation & Compliance