11/04/2022
SEC introduces rule on outsourcing for investment advisers
SEC proposes new oversight requirements for certain services outsourced by investment advisers.
11/04/2022
SEC proposes new oversight requirements for certain services outsourced by investment advisers.
11/04/2022
Majority of the rest of the cuts might cover other teams responsible for both onshore and offshore businesses in China.
11/03/2022
Mortgage loan officers are the anticipated target
11/03/2022
Choreo had $9.6 billion in regulatory assets under management as of its its latest Form ADV, filed in July.
10/31/2022
Pre-selection for these awards was provided by Bloomberg and based on annualized performance over a 12-month period from May 31, 2021, to May 31, 2022.
10/31/2022
Served over five years
10/28/2022
This risk rating change is based on the standardized risk classification methodology mandated by the Canadian Securities Administrators
10/27/2022
The commission approved the proposal by a three-to-two party-line vote with the two Republican commissioners voting against the measure
10/26/2022
The SEC declares unlawful a number of practices that have long been accepted as entirely legitimate and commonplace in the market,» Hwang indicated in his filing.
10/26/2022
SEC proposal criticised as ‘unhelpfully blunt’ measure that could discourage stockpicking
10/21/2022
PenderFund’s fixed income specialist argues central bank tightening nears an end and the prospects for high-yield bonds are improving.
10/18/2022
The settlement, for which Credit Suisse is fully provisioned, marks another important step in the bank’s efforts to pro-actively resolve litigation and legacy issues.
10/17/2022
This would include custody, global custody FX, fund administration, transfer agency, middle office and securities lending.
10/17/2022
Carey Olsen's corporate team in the Cayman Islands has advised Elenas on its latest $20 million funding round.
10/14/2022
US Stock markets continued to slide on Wednesday after the Federal Reserve once again reaffirmed its restrictive monetary policy course.
10/14/2022
The Roth IRA is a popular and often effective tax and retirement savings tool for a wide range of taxpayers.
10/12/2022
Competition Bureau spokesperson Marie-Christine Vézina confirmed an investigation into RBC's alleged deceptive marketing was initiated at the request of six Canadian residents.
10/11/2022
He was found by his wife when she returned to their home near Dallas on the evening of Feb. 19, 2020.
10/07/2022
In some circumstances, there can be time-pressure to obtain the confirmations in order to meet the investment closing deadline.
10/07/2022
The advisory team included partner Dominic Conlon, head of Corporate, and associate Aaron Kelly.