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Legal, Regulation & Compliance

09/08/2016

Investment manager’s secrets are keeping him in jail

The Securities and Exchange Commission said in a Wednesday filing that nothing had happened and argued for Kapur’s continued detention.

09/07/2016

Fed policymakers defend role of private bankers at central bank

But Fed officials say private bankers offer insights on the nation's economy and a check on central authority in Washington.

09/07/2016

U.S. regulators to allow BlackRock funds to lend to one another

BlackRock first asked the regulatory agency in 2015 for permission to let its mutual funds borrow cash from one another

09/06/2016

Huge Brazil police raid targets $2.5-bn pension fraud

Brazilian police staged a massive raid Monday to crack down on what they described as rampant fraud in the pension system

09/06/2016

Israeli Court Issues FATCA Injunction

The US Congress enacted FATCA in 2010 to target non-compliance by US taxpayers using foreign accounts.

09/05/2016

Apple's top lawyer fires back at EU over tax ruling

After being told the company owes $14.5 billion in back taxes, Apple's general counsel says the European Commission has its numbers wrong.

09/05/2016

HSBC'S Foreign-Exchange Dealings Under Scrutiny Again

Such an incident of suspected malpractice is nothing new for HSBC, a bank that has regularly caught the attention of US regulators in recent times.

09/02/2016

BNY Mellon Says Ex-Atherton Owners Poached Bankers, Clients

The lawsuit names as defendants the new firm, Lyell Wealth Management LLC and its co-founders, all of whom worked for of Menlo Park, California-based Atherton.

09/02/2016

Yesterday, outraged by Apple’s tax dodge. Today, by its tax bill.

Most lawmakers and business groups do not see it that way.

09/02/2016

Good Technology Investors Sue J.P. Morgan, Claiming Conflicts

In an amended suit in Delaware Chancery Court, Good’s shareholders said that J. P. Morgan, the start-up’s banker, had faced so many conflicts of interest in its dealings

09/01/2016

RBC to Pay $2.5 Million for Proxy Statement Disclosure Violations

The SEC found that RBC’s presentation described one of its valuations as being based on Wall Street analysts’ “consensus projections” of Rural/Metro’s 2010 adjusted EBITDA, a pretax earnings figure.

08/31/2016

Five Areas Where We Need Regulatory Balance

In sum, the state of the American banking system is something both bankers and regulators can take pride in.

08/30/2016

Pershing Offers New Mutual Fund and ETF Solutions for Emerging and Mass-affluent Investors

New offering from Lockwood also assists registered reps looking to transition to fee-based advisory mode

08/30/2016

Buyout firms' hushed deals with top investors risk US regulators' ire

The so-called co-investments allow institutional investors such as pension funds and sovereign wealth funds to invest in target companies.

08/26/2016

Private Equity Fund Advisers Agree to Settle Charges of Improperly Disclosing Acceleration of Monitoring Fees and Improperly Supervising Expense Reimbursement Practices

The SEC found that the monitoring agreements allowed Apollo, upon the triggering of certain events, to terminate the agreement and accelerate the remaining years of the monitoring fees to be collected in a present value lump sum termination payment.

08/26/2016

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

The amendments will improve the quality of information that investment advisers provide to investors and the Commission.

08/26/2016

Investment Advisers Paying Penalties for Advertising False Performance Claims

The firms repeated many of F-Squared’s claims while recommending the investment to their own clients without obtaining sufficient documentation to substantiate the information being advertised.

08/26/2016

War of words hots up between US and EU over tax avoidance

US accused of ‘acting like a tax haven’ for threatening retaliation against Brussels’ anti-trust investigations into Apple, Amazon and Starbucks

08/26/2016

Merrill Lynch Faces Allegations of Labor Law Violations

The plaintiffs seek damages, interest and attorneys fees, among other relief.

08/25/2016

SEC fines Wilbur Ross' firm $2.3 million over fees

An SEC investigation found that WL Ross advises the WLR Funds and other private equity funds, as well as separately managed accounts and co-investment vehicles.

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