09/29/2016
The Securities and Exchange Commission has charged two lawyers and a brokerage firm manager in Peru with insider trading prior to the merger of two mining companies.
09/29/2016
The Commission also voted to propose to apply the enhanced standards established by the new rules to other categories of securities clearing agencies, including all SEC-registered central counterparties.
09/29/2016
Proposal Shortens Settlement Cycle From Three Business Days to Two
09/28/2016
Top executives may have to forfeit some of the $300 million doled out during the period when harried workers set up fake customer accounts to meet sales goals.
09/28/2016
Without help from the banks in several instances, he said, the government was forced to build cases from the ground up.
09/28/2016
Senate leaders in both parties said Tuesday they expect the vote to succeed, though Congress has yet to override a veto by Obama.
09/27/2016
If these conditions are satisfied, the mutual fund waives the front-end sales charge.
09/27/2016
Oregon Senator Ron Wyden said he wants to put an end to a Kennedy era law
09/27/2016
An evidence of possible bribery and other misconduct, findings that were echoed in a separate review by a law firm
09/26/2016
Wells Fargo fired or demoted employees who failed to meet unrealistic quotas, while, at the same time, providing promotions to employees who met these quotas by opening fraudulent accounts
09/26/2016
The companies and their main trade associations, in hundreds of pages of letters, called on the Basel-based FSB to fine-tune potential constraints on how firms assess market stress
09/23/2016
Wells Fargo has refunded $2.6 million in fees to customers, but Tester said the consequences go beyond late charges.
09/23/2016
The Macri family’s Grupo Socma holding invested in ViajeYa.com, a company registered in the Bahamas which focuses on online tourism services, according to a report in La Nación daily.
09/23/2016
BNY Mellon Accused of Unfair Competition by Wealth firm
Suit comes weeks after bank accused firm of poaching clients
09/23/2016
CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000 for Recordkeeping Violations
Barclays is a global banking and financial services company based in the United Kingdom, as well as a provisionally registered swap dealer with the CFTC.
09/23/2016
'I had no knowledge of, or participation in… the listing of my name as a director' of offshore firm
09/22/2016
SEC Charges Billionaire Hedge Fund Manager Leon Cooperman With Insider Trading
Cooperman and Omega are alleged by the SEC to have made $4 million on the trades when the securities soared after the deal was announced.
09/21/2016
Hodgkinson Street Mepham received numerous accolades in 2016
09/21/2016
The SEC hopes the new rules will improve the depth and quality of the information it collects, facilitate its risk monitoring initiatives and assist staff in its risk-based examination program.
09/21/2016
U.S. judge narrowed but refused to dismiss lawsuits against Deutsche Bank, Morgan Stanley, and five other large banks