05/31/2017
The notice requires broker-dealers to keep records of any text message correspondence, take responsibility for any links or shares to third-party content providers, just as if the firm had created the content itself (but only if the firm had some form of
05/31/2017
The actions were taken by the Board to address unsafe and unsound practices at the firm's domestic banking operations
05/31/2017
"Building our finance capabilities at the highest levels in order to align with our clients' businesses is a priority of the firms, so Liz and Del are ideal additions," said Ed Estrada, chair of Reed Smith's Financial Industry Group.
05/31/2017
Cory Redding defrauded by his financial advisor, adults lose confidence in financial well-being as they age and millennials want more than robos.
05/30/2017
The Canada Revenue Agency says it has “upped its game” and launched dozens of criminal investigations into offshore tax schemes
05/30/2017
FINRA also emphasized that the remaining conditions of FINRA Rule 5131.02(b) must still be satisfied.
05/29/2017
Otherwise the pension (plan) will have to aggregate positions across all managers in determining whether it has exceeded position limits.
05/28/2017
Prosecutors rejected that, as well as the company's next offer that it would pay 8 billion reais.
05/26/2017
This is the third year in a row the firm has been recognized with this award
05/25/2017
Goldman says Friedstein and Page’s employment contracts “broadly prohibit” them from going after clients and employees for at least 90 days following their departure, according to Bloomberg.
05/24/2017
Billionaire hedge fund manager Gets SEC Waiver to Keep Raising Money for Hedge Fund
A waiver from punishments that automatically kick in when individuals settle enforcement actions.
05/24/2017
The defendants are charged with securities fraud, wire fraud, conspiracy and conversion of property of the United States.
05/24/2017
The violations announced today include major deficiencies in the Bank’s oversight that allowed nearly unfettered misconduct by more than a dozen BNPP traders and salespeople.
05/23/2017
But the appeals court panel upheld the ruling on Tuesday.
05/23/2017
In highlighting these best practices, OCIE also reiterated findings from its 2014 Cybersecurity Initiative
05/22/2017
If you wish to serve as a lead plaintiff in this class action, you must petition the Court by June 27, 2017.
05/22/2017
Garceau was arraigned before Magistrate Daniel Goulette Friday, with bond set at $50,000 and 10 percent surety. He will appear in front of Judge Linda Davis on May 31.
05/22/2017
The Justice Department wishes to thank the FDIC – both the San Francisco Office and FDIC Headquarters for its cooperation in this investigation.
05/20/2017
The Fed initially announced its plans to fine Ashton and bar him from the industry in August of last year.
05/19/2017
It serves no one, least of all investors and borrowers, to have fewer options in the capital markets.