06/28/2021
Judges don’t bite on DB defense applying to DC in ERISA cases
If DC sponsors could successfully use this "no harm, no foul" ruling, then they could persuade judges to dismiss complaints, thus reducing the costs of going to trial.
06/25/2021
This tireless work is about helping the most vulnerable among us, a matter of financial integrity but also human integrity.
06/24/2021
Ross Todd from The AM Law Litigation Daily interviews Steve Cirami, VP, Head of Class Actions and Corporate Actions at Broadridge.
06/24/2021
"We were delighted to work alongside the team at Ropes & Gray LLP and we can't wait to see what the combined group does next."
06/23/2021
Investment bank says policy will come into effect on July 12
06/23/2021
When necessary, she ardently defends lead agencies' land use approvals and environmental determinations in judicial proceedings, and frequently heads mediation teams in settlement discussions.
06/22/2021
Additionally, the OSC stated that platforms that allow access to Ontarians are regarded by the OSC as operating in Ontario for the purposes of securities regulation.
06/22/2021
BMO Mutual Funds are managed by BMO Investments Inc., which is an investment fund manager and a separate legal entity from Bank of Montreal.
06/21/2021
SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze
The investigation is supervised by Danielle R. Voorhees and Joseph G. Sansone. The SEC’s litigation will be led by Christopher E. Martin and Mark L. Williams under the supervision of Gregory A. Kasper.
06/18/2021
SEC says California-based Robert Joseph Armijo personally made over $1 million in commissions by selling unregistered 'distressed market' real estate funds in what regulators say was a Ponzi-like scam.
06/18/2021
Rep violated suitability obligations by investing clients in funds with risky holdings
06/17/2021
Goldman Sachs was first to recall employees but rival bankers will be based at home for months
06/16/2021
Key Private Bank has also enhanced its use of the platform, adopting compliance, data services, IBOR, and performance measurement and attribution capabilities.
06/16/2021
The new trust company is a key part of Hightower's strategy to provide its current advisory businesses, and those that join Hightower in future, with a broad range of holistic services for their clients and their families.
06/15/2021
Naomita’s clients are generally high net worth individuals and families with Californian and federal tax advice needs, as well as cross-border tax and tax residency issues.
06/15/2021
To support clients around the world transition to a low-carbon economy, TD Securities created the Sustainable Finance and Corporate Transitions Group.
06/14/2021
"When a benchmark is mismatched like that, there’s a heck of an economic incentive to manipulate it," he warned.
06/11/2021
Matthes was also ordered to pay his victims restitution of $2.4 million. He had earlier pleaded guilty to three counts of wire fraud.
06/11/2021
The Basel Committee on Banking Supervision, made up of regulators from the world's leading financial centres, proposed a twin approach to capital requirements for cryptoassets held by banks in its first bespoke rule for the nascent sector.
06/10/2021
Review of the family office exemption could be addressed in several ways.