04/06/2016
The secret conversations and backroom plotting laid bare in today’s charges paint a vivid picture of a brazen fraud
04/05/2016
ESMA says repository neglected to provide data on OTC derivatives trades
04/05/2016
The comments from Nigel Green, founder and chief executive of deVere Group, follow a major leak of confidential documents from Panamanian law firm, Mossack Fonseca.
04/05/2016
The Department of Justice today filed a civil antitrust lawsuit in the U.S. District Court for the Northern District of California against certain ValueAct Capital entities
04/05/2016
Hedge funds including Brigade Capital Management and Claren Road Asset Management, which hold some of GDB’s $3.75 billion in debt
04/05/2016
Firms adjusting operations and communicating changes to clients
04/01/2016
The Financial Stability Board, which met in Tokyo on Thursday, has agreed on a framework for categorizing different components of fintech and assessing their potential risks.
03/30/2016
The push toward some sort of framework follows criticism from various corners that the country has been relatively slow to embrace policies
03/29/2016
Partner in PJT Partners allegedly scammed clients into fake investment that he created and made up web domain and emails to support
03/29/2016
It makes sense to extend ‘clawback’ periods for as long as 10 years
03/29/2016
Under the terms of the settlement, VimpelCom is required to pay $167.5 million to the SEC
03/29/2016
The award is the latest in a string of claims ruled in favor of investors against UBS
03/28/2016
A North Carolina hedge fund manager who defrauded investors while out on bond and facing charges for another scam has been sentenced to 18 years in federal prison.
03/24/2016
The wealth management industry has opposed the proposal for years
03/24/2016
The Order further finds that in March 2013, CSS-USA submitted to Enforcement
03/23/2016
A proposal to let private firms perform regulatory scrutiny of registered investment advisers has left the industry divided.
03/22/2016
Investigators obtain chats and emails that appear to implicate Goldman in manipulating Treasury note prices
03/22/2016
The same source also claimed that federal authorities in the US are also “exploring” whether Goldman’s hiring practices in the region violated US anti-corruption laws.
03/22/2016
For over two years, Scout Trading participated in naked shorting of ETFs, which resulted in repeated failure by Wedbush to deliver the securities.
03/21/2016
Nygard is a major donor to Christie’s ruling Progressive Liberal Party