Managers of Wealth Americas

Why Too-Big-to-Fail Doesn't Fit for Funds: Global Regulator

Bank-style oversight is a poor fit for the asset management industry and regulators should not overreach

New Reporting Requirement for Foreign Assets

Failure to file by June 30 deadline could result in $25,000 penalty

Only One Week Remains to File Foreign Bank Account Reports

Significant penalties may be imposed for failure to file a complete and accurate FBAR on or before the June 30 due date. There are no extensions for filing.

SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings

Cases Are First Against Underwriters in Muni-Bond Disclosure Initiative

Investors Play the Confidence Game in Trusting Central Banks

Mr. Koesterich said faith in the Fed may be more justified than faith in Europe’s ability to resolve its problems with Greece.

US court issues show-cause notice to Sahara in $350 million lawsuit

Looking into the suit, the court has now passed an 'order to show cause'

Disgraced trader asks judge for a $50M refund

Rajaratnam is asking that five counts of his conviction be vacated

Everest Wealth Management: Fraud allegations 'spurious,' 'unsupported by facts'

The company is known for its "Money Guys" paid advertising

Pimco Chief Applauds Iosco SIFI Shift

The $1.6 trillion asset manager’s chief executive was reacting after a decision the day before by International Organization of Securities Commissions

Ex-Im Bank Faces Congressional Troubles

The Export-Import Bank helps U.S. companies with financing and a type of insurance that protects firms in case a foreign customer cannot pay.

U.S. regulators impose limits on mortgage business for 6 banks

OCC to Escheat Funds from the Foreclosure Review, Terminates Orders Against Three Mortgage Servicers, Imposes Restrictions on Six Others

Top two FIFA officials hire lawyers as Swiss probe bank transactions

FIFA's embattled president, Sepp Blatter, and his second-in-command have hired high-powered lawyers to represent them

Regulators Near Pacts to Settle U.S. Rate Probes

CFTC is weighing punishments against several banks and broker ICAP

Finra arbitration panel hits Robert W. Baird & Co. with $13 million penalty

The asset and wealth management firm was accused of unfair competition and solicitation

Commerce Department Reporting Obligations for U.S. Investment Abroad - Cantor & Webb

BEA conducts seven mandatory surveys to collect information on direct investment.

RBC, BMO settle with SEC over U.S. municipal bond sales

Two Canadian banks are among a list of 36 financial firms that have settled allegations from the U.S. Securities and Exchange Commission that they sold U.S. municipal bonds using materially false statements or omissions.

Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges

A SEC investigation found that Helmut Anscheringer purchased stock and call options in AuthenTec Inc. upon learning from a longtime friend related to an AuthenTec executive that Apple proposed to buy the company, which provided fingerprint sensors and sof

Legal, Regulation & Compliance