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Legal, Regulation & Compliance

11/03/2022

Wells Fargo expected to cut more jobs

Mortgage loan officers are the anticipated target

11/03/2022

Choreo Inks Deal for $1.8B RIA Enso Wealth Management

Choreo had $9.6 billion in regulatory assets under management as of its its latest Form ADV, filed in July.

10/31/2022

Kroll Named Best Regulatory and Compliance Firm at Private Equity Wire US Awards 2022

Pre-selection for these awards was provided by Bloomberg and based on annualized performance over a 12-month period from May 31, 2021, to May 31, 2022.

10/31/2022

Convicted LIBOR rigger Tom Hayes has US charges thrown out

Served over five years

10/28/2022

TD Asset Management Inc. Announces Risk Rating Change to the TD Global Technology Innovators Index ETF

This risk rating change is based on the standardized risk classification methodology mandated by the Canadian Securities Administrators

10/27/2022

SEC Proposes New Rule for Investment Advisors Who Outsource Essential Functions

The commission approved the proposal by a three-to-two party-line vote with the two Republican commissioners voting against the measure

10/26/2022

Bill Hwang Urges End to SEC Lawsuit Against «Legitimate» Practices

The SEC declares unlawful a number of practices that have long been accepted as entirely legitimate and commonplace in the market,» Hwang indicated in his filing.

10/26/2022

Deceptive fund name crackdown puts investment managers on edge

SEC proposal criticised as ‘unhelpfully blunt’ measure that could discourage stockpicking

10/21/2022

End of the Rate Hike Cycle in Sight: Manager

PenderFund’s fixed income specialist argues central bank tightening nears an end and the prospects for high-yield bonds are improving.

10/18/2022

Credit Suisse Group Reaches Settlement in RMBS Legacy Case

The settlement, for which Credit Suisse is fully provisioned, marks another important step in the bank’s efforts to pro-actively resolve litigation and legacy issues.

10/17/2022

CACEIS and Royal Bank of Canada sign a Memorandum of Understanding on the proposed acquisition of RBC Investor Services operations in Europe

This would include custody, global custody FX, fund administration, transfer agency, middle office and securities lending.

10/17/2022

Carey Olsen advises Colombia-based social commerce start-up Elenas on a Series B funding round

Carey Olsen's corporate team in the Cayman Islands has advised Elenas on its latest $20 million funding round.

10/14/2022

LGT Navigator: Federal Reserve remains undeterred

US Stock markets continued to slide on Wednesday after the Federal Reserve once again reaffirmed its restrictive monetary policy course.

10/14/2022

Roth IRAs Remain Attractive Planning Tools Despite Recent Bills

The Roth IRA is a popular and often effective tax and retirement savings tool for a wide range of taxpayers.

10/12/2022

RBC under investigation by Competition Bureau over climate claims

Competition Bureau spokesperson Marie-Christine Vézina confirmed an investigation into RBC's alleged deceptive marketing was initiated at the request of six Canadian residents.

10/11/2022

Financial adviser guilty of fraud in case related to client’s murder

He was found by his wife when she returned to their home near Dallas on the evening of Feb. 19, 2020.

10/07/2022

Snapshot: considerations for Chilean pension funds investing in offshore funds

In some circumstances, there can be time-pressure to obtain the confirmations in order to meet the investment closing deadline.

10/07/2022

Ogier Leman advises creative agency Connelly Partners on cross-border acquisition of Zoo Digital

The advisory team included partner Dominic Conlon, head of Corporate, and associate Aaron Kelly.

10/07/2022

Celsius execs cashed out $21 million before bankruptcy

The next hearing for Celsius is scheduled for later today, the 7th of October.

10/06/2022

FINRA Fines Barclays Capital Inc. $2 Million for Best Execution Violations

FINRA included best execution as a topic in its 2022 and 2021 FINRA Examination and Risk Monitoring Program reports, as well as its 2020 and 2019 Annual Risk Monitoring and Examination Priorities letters.

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