11/03/2016
The SEC traditionally has not viewed issuers of securities, such as hedge funds and private equity funds, as broker-dealers.
11/03/2016
Ticket Reserve ran into financial difficulties and relied on infusions from Narayan’s clients to stay afloat, in return for which the advisor received close to $2 million in finder’s fees from the firm, according to the regulator.
11/02/2016
The taxpayers and companies declared the equivalent of R$169.9 billion in undeclared assets abroad under the programme.
11/02/2016
The outcome the authorities are working in the regulation.
10/31/2016
WF hired KPMG to conduct independent audits
10/31/2016
Industry grapples with meeting regulatory requirements
10/31/2016
The office will be the central point of contact and clearinghouse for requests and information related to innovation.
10/30/2016
Switzerland has long been a popular destination for financial criminals committing activities such as tax evasion and money laundering
10/30/2016
Morgan Stanley, Ameriprise Financial, Raymond James and others announced whether they will retain commissions under new regulations.
10/27/2016
That’s a very compelling time savings for offices that are typically only three to five people,” says Stefano Guarnieri, managing director at Athena.
10/27/2016
These jaw-dropping numbers will keep getting bigger until we fix the corporate tax system.
10/26/2016
The report Doing Business 2017 shows that 137 out of 190 countries adopted pro-business measures in 2015
10/24/2016
He allegedly placed four more orders within an hour after the meeting ended.
10/24/2016
The probe led to four banks last year pleading guilty to conspiring to manipulate currency prices.
10/24/2016
Wells Fargo would like to close the chapter on the sham account scandal
10/24/2016
Whistleblowers across the globe aided in uncovering misconduct and contributed heavily to the overall success of the SEC’s fight against fraud.
10/20/2016
He got a $60,000 bribe in a black Ferragamo bag and luxury trips in return, officials said.
10/20/2016
Merrill Lynch settled the case without admitting or denying the charges, but accepted the entry of FINRA's findings into its disciplinary record
10/20/2016
State and federal courts in California have been invalidating such agreements for years
10/20/2016
The requirement will apply to all Treasury securities except savings bonds.