07/18/2014
The companies, which aren’t named in the notice, are Barclays, Deutsche Bank and hedge-fund manager Renaissance Technologies LLC, the people said. Representatives for each of the companies plan to testify at the July 22 hearing, the people said.
07/18/2014
Two people familiar with the matter said that Elliott was seeking between EUR 225 and EUR 275 per share, almost three times higher than the EUR 84.63 per share cash offer made by Vodafone.
07/17/2014
The Volcker Rule was designed to curb big banks' ability to engage in risky and speculative securities trading activities in an effort to prevent future U.S. government bailouts of financial institutions deemed too big to fail.
07/16/2014
Paradigm and C.L. King were allegedly under the common control of Weir
07/16/2014
A former hedge fund manager, of conspiracy to commit insider trading and the use of manipulative and deceptive devices to commit securities fraud.
07/15/2014
A New York court fined French bank BNP Paribas $9 billion last month for doing business in Sudan, Iran and Cuba.
07/15/2014
Ernst & Young settles SEC accusations for $4 million
Auditor independence is critical to the integrity of the financial reporting process
07/14/2014
IOSCO will establish the key tools - including fines, prison sentences, and clawing back ill-gotten gains - that deter financial firms from breaking the rules
07/14/2014
The deals allow individuals to give authorities information about crimes
07/14/2014
US regulator rules in favour of London-listed inter-dealer broker run by Terry Smith
07/14/2014
The cash portion consists of a $4 billion civil monetary payment to the DOJ and $500 million in compensatory payments to the State AGs and the FDIC.
07/13/2014
He admitted to forging letters to allow Villalobos to collect placement agent fee commissions.
07/13/2014
Financiers may grumble that the United States is acting like an imperial power in punishing foreign banks for dealings far beyond U.S. territory, but in the end they are more likely to bow to Washington than kick against its dollar muscle.
07/11/2014
Steven A. Cohen proved to be a stickler for the letter of the law when it came to paying the criminal penalty imposed on his former hedge fund as part of its guilty plea on insider trading charges.
07/11/2014
John Devaney to Become Firm’s New Leader
07/10/2014
Regulators published on Wednesday details of how the world's top nine insurers will calculate their first global capital buffer from 2019 to ensure policyholders are protected in a crisis.
07/09/2014
The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011.
07/09/2014
The sentencings were the latest development in a broad investigation into what prosecutors called the first major criminal insider trading case to be brought in Atlanta.
07/09/2014
The smiling 43-year-old defendant left the courthouse without commenting. He still faces civil charges from the Securities and Exchange Commission.
07/09/2014
Bank Asks That Sentencing For Aiding Tax Evasion Be Pushed Back to November