12/21/2021
The court said a decision last year by the English Court of Appeal to overturn an earlier High Court ruling was "misplaced" as the British government's recognition of Guaido as Venezuela's interim president was "clear and unequivo
12/21/2021
The U.S. Attorney’s Office for the District of Massachusetts today announced criminal charges against the five defendants named in the SEC’s action and that defendant Vladislav Kliushin was extradited from Switzerland.
12/21/2021
The same day, the SEC also proposed requiring issuers to make next-day disclosures of any repurchases they make of their equity securities.
12/20/2021
The public will have an opportunity to submit comments within 45 days after the proposed stock repurchase disclosure rules are published in the Federal Register.
12/20/2021
Firm also agrees to implement significant improvements to its compliance controls
12/20/2021
These actions are a violation of federal law, which requires all financial institutions to keep records of customer communications so that regulators can check whether companies are violating anti-fraud or antitrust laws.
12/19/2021
These regulations will represent a sea change in law enforcement’s efforts to shed light on an otherwise opaque market.
12/17/2021
The registration and disclosure requirements may be particularly relevant to banks and investment fund structures that establish legal entities in connection with financings and corporate acquisitions.
12/16/2021
US central bank’s review into the collapse of the hedge fudge could lead to further action, Fed warns
12/15/2021
The company pleaded guilty in 2016 to conspiracy to violate anti-bribery provisions of the U.S. Foreign Corrupt Practices Act.
12/14/2021
As part of the implementation for settlement in US dollar, Canadian dollar, GBP and euro transaction, both banks have agreed to the Baton Rulebook, a framework designed to provide legal certainty around settlement finality.
12/14/2021
Funds and advisers should also monitor and manage any conflicts of interest associated with the transition
12/14/2021
The early rollovers of UITs caused customers to incur potentially excessive sales charges, FINRA reported.
12/13/2021
In combination, companies can easily take steps to comply with these national and regional requirements, as well as easily understand when regulatory changes occur.
12/13/2021
Improving Diplomatic Engagement and Leveraging Foreign Assistance Resources to Achieve AntiCorruption Policy Goals.
12/12/2021
FinCEN strongly encourages the public to submit written comments in response to the ANPRM.
12/12/2021
FinCEN strongly encourages all interested parties, including those that would be affected by the proposed beneficial ownership information reporting rule, to submit written comments.
12/12/2021
Few jurisdictions in the United States require legal entities to disclose information about their beneficial owners—that is, the people who actually own or control a company—or the persons forming them.
12/10/2021
The Series B was led by global investment manager Cotaue, who has also invested in TikTok, Deel and fellow Mexican unicorn Bitso.
12/10/2021
Targeting “terrorists, criminals and kleptocrats”