06/17/2016
The SEC alleges that Christopher Salis, then a global vice president at SAP America, received thousands of dollars in kickbacks for tipping Douglas Miller in advance of SAP’s impending acquisition of Concur Technologies.
06/17/2016
SEC investigations found that Apex Fund Services Inc. missed or ignored clear indications of fraud while contracted to keep records and prepare financial statements and investor account statements for funds managed by ClearPath Wealth Management and Equit
06/17/2016
Johnston allegedly funneled to Valvani the details of his conversations with FDA personnel, including a close friend he mentored during his time at the agency.
06/16/2016
There are now more than 50 public and private exchanges, tethered together by a web of regulations that dictate how they must coordinate.
06/16/2016
Most of the cuts will be among back-office employees, said unnamed people with knowledge of the situation.
06/16/2016
The Trust is required under various securities laws to have its financial statements audited by an independent accounting firm.
06/15/2016
Morningstar research estimates that $3 trillion in full-service wealth management assets will be affected.
06/15/2016
New boutique law firm launched
The boutique format re-invents the way HES delivers premium legal services to clients.
06/15/2016
Wall Street scion will likely plead guilty in a $150 million fraud case
Prosecutors previously said his alleged fraud scheme was up to $95 million.
06/15/2016
The firm was recently granted a licence to underwrite by the Investment Industry Regulatory Organization of Canada.
06/14/2016
A settlement agreement approved by the British Columbia Securities Commission on Monday also includes a voluntary payment by the Vancouver-based firm of $300,000 toward investor education, and $20,000 to cover costs.
06/14/2016
The fact that Blackstreet Capital fully disclosed the fees did not affect the SEC’s conclusion that Blackstreet acted as an unregistered broker-dealer.
06/12/2016
To reach out to American officials and fund its U.S. operations, the center said it needed an infusion of cash for an eight-month campaign: at least $247,000.
06/12/2016
This week's arrest of hedge fund manager Murray Huberfeld for an alleged kickback scheme with New York City's correction officers union didn't surprise one particular private eye.
06/10/2016
“The combination of our new and existing tools helps our clients operate as fiduciaries.”
06/10/2016
Deal flow and complexity on the rise when it comes to sales of adviser businesses
06/10/2016
Conference participants were told that their discussions would be off the record – no recordings or videos would be allowed.
06/10/2016
The proceeds from the illegal operations were shuffled through Cyprus, Azerbaijan and Switzerland, prosecutors said.
06/10/2016
The SEC appreciates the assistance of the New York Field Office of the Federal Bureau of Investigation and the U.S. Attorney’s Office for the Southern District of New York.
06/10/2016
The award is the second-largest issued by the SEC since its whistleblower program began nearly five years ago. The SEC issued a $30 million award in September 2014 and a $14 million award in October 2013.