03/01/2016
Trader's ouster at JP Morgan affirms commitment to compliance
A Finra spokesman said the regulator will review the firing as a matter of practice as it does with all dismissals for cause.
Legal, Regulation & Compliance
03/01/2016
SEC Said to Pressure Lloyds on Disputed CoCo Bonds Tender Offer
The U.S. Securities and Exchange Commission pushed Lloyds Banking Group Plc to give bondholders more details on the terms of its buyback offer as the British bank prepares for a legal battle with creditors in the U.K. Supreme Court
03/01/2016
Trader's ouster at JP Morgan affirms commitment to compliance
A Finra spokesman said the regulator will review the firing as a matter of practice as it does with all dismissals for cause.
02/29/2016
Global law firm to Establish Global Business Services Center in Louisville, Kentucky
The move follows a strategic review of how the firm provides business services support
02/29/2016
US Fed Has Limited Influence on Russian Markets - Russian Central Bank Head
Russian Central Bank head said that US Federal Reserve has no direct influence on the Russian market.
02/29/2016
Local big deals set 2015 records; 2016 looks strong
Both numbers are records since Crain's started running its list of big deals more than two decades ago
02/29/2016
Mystery Malaysian High Roller at Center of Global Laundering Probe
He arrived from out of nowhere in 2009, a mysterious, geeky 28-year-old dropping ridiculous amounts of money all over the city.
02/29/2016
The Wall Street rat is going to get more fat
Previously, older laws enacted after the savings and loans scandal in the 1980s capped awards at $1.6 million.
02/29/2016
Bills would allow bigger payouts to Wall Street whistleblowers
Previously, older laws enacted after the savings and loans scandal in the 1980s capped awards at $1.6 million.
02/29/2016
Dentons tells ex-Luce Forward partners of $1.9M clawback years after they joined predecessor firm
Some ex-partners of the bygone California firm who are not currently connected with Dentons are being offered a chance to repay the claimed debt
02/26/2016
Ex-Citadel financial analyst to be resentenced in trade secrets case
The three-judge 7th Circuit panel suggested that the $12.7 million intended loss was inflated.
02/26/2016
Gibraltar hit with regulatory action for secrecy act and anti-money laundering violations
The OCC today also issued a $2.5 million CMP against the bank.
02/26/2016
U.S. Sanctions Warning Tests Resolve of Foreign Banks in Russia
Royal Bank of Scotland Group Plc, Barclays Plc and Deutsche Bank AG have shuttered activities in the country.
02/26/2016
Tightening The Global Tax Net
They will need to look carefully to see where their reporting obligations lie and whether the structures currently in place remain workable and practical before the first official exchanges in September 2017.
02/25/2016
Fiduciary Rule: Blasé RIAs Need to Pay Attention
The rule has the potential to dramatically reshape the retirement savings world, particularly commissions-based compensation.
02/25/2016
FSC recognises overseas stock and commodities exchanges
The recognised exchanges listed include some of the most important stock and commodity exchanges in the world.
02/24/2016
The ANC’s wealth tax: Double rigging a rigged game
Kevin Bloom speaks to a tax haven investigator who says that he doesn’t.
02/24/2016
Squire Patton Boggs and Carroll, Burdick & McDonough to Combine
Squire Patton Boggs and California-based Carroll, Burdick & McDonough today announce that they have reached a definitive agreement to combine firms.
02/23/2016
John Kasich Picks Up Another Billionaire Backer, Julian Robertson
On Sunday, the Ohio governor’s campaign said it had won the support of another billionaire investor, Stanley F. Druckenmiller.
02/23/2016
Elliott to be referred to prosecution on rule breach
The Securities and Futures Commission (SFC) will approve a petition to punish Elliott at its policy-setting meeting today, asking the prosecution to investigate the fund for the rule breach.