05/01/2015
Wall Street's Regulatory Chief Says Data Collection Plan on Hold
Ketchum could face some tough questions from Republicans on a House of Representatives financial services panel over FINRA's plan
04/30/2015
U.S. regulator charges firm that put money with SAC, Paulson funds
An investment firm that funneled client money into some of the world's hottest hedge funds, including SAC Capital and Paulson & Co, on Wednesday agreed to shut down and pay nearly $700,000 in fees and penalties
04/30/2015
Steven Kantor, Cantor Fitzgerald LP’s former head of investment banking, sued the bond brokerage in a contract dispute
04/30/2015
A federal judge has dismissed lawsuits accusing several major U.S. exchanges of cheating ordinary investors by selling early access to market data to high-frequency traders
04/30/2015
Rules Would Provide Greater Transparency and Better Inform Shareholders
04/30/2015
After establishing a global two-tier panel last year, Barclays has launched a procurement process to formalise its flexible resourcing usage and establish its first contract-lawyer only panel.
04/30/2015
The SEC also accused the firm’s outside auditor, Simon Lesser
04/30/2015
Ken’s knowledge and extensive experience of working within the US markets and beyond will be invaluable as we look to grow our practice across the continent
04/30/2015
In the first case of its kind, the U.S. Securities and Exchange Commission awarded a payment to a whistleblower after he experienced retaliation from his employer after he reported alleged misconduct.
04/29/2015
DB Group Services pleaded guilty to a criminal charge of wire fraud from the U.S. Department of Justice and will pay a $775 million penalty.
04/29/2015
Regulators are looking into whether Merrill Lynch broke rules designed to ensure that customers of the Bank of America-owned brokerage would have access to enough of their money in a crisis
04/29/2015
In 2013, heirs including Kathryn Mennen, a granddaughter of George S. Mennen, sued her uncle, George “Jeff” Mennen, and Wilmington Trust Co.
04/29/2015
The Securities and Exchange Commission is investigating Bank of America to see whether it broke rules by speculating with its customers' funds
04/29/2015
Bitcoin has become mainstream, the volume of bitcoin trading has grown exponentially
04/29/2015
To date, the SEC has awarded 17 whistleblowers since its whistleblower program began more than three years ago. Payouts now total over $50 million.
04/29/2015
A Ross Asset Management investor, who liquidators are trying to claw money back from, has been denied permanent name suppression
04/29/2015
Proprietary reporting engine provides exceptional levels of customization for investment trend analysis and compliance
04/28/2015
The BSI nonprosecution agreement demonstrates the extraordinary level of disclosure and cooperation that Swiss banks are required to undertake in order to qualify for such a resolution, and provides a detailed road map for other Swiss banks seeking simila
04/28/2015
Bank questioned about potential use of funds that should have been off-limits
04/27/2015
The bank's share price slid 7.4 per cent on the day in June when New York