Managers of Wealth Americas

When it Comes to Recovering on Securities Class Actions, More Money Means More Complexity

Ross Todd from The AM Law Litigation Daily interviews Steve Cirami, VP, Head of Class Actions and Corporate Actions at Broadridge.

Ogier advises Sports Entertainment Acquisition Corp SPAC merger with Super Group to create NYSE-listed company

"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."

Morgan Stanley to bar unvaccinated staff and clients from New York office

Investment bank says policy will come into effect on July 12

Margaret Sohagi Selected to Best Lawyers in America 2021 "Women in Law"

When necessary, she ardently defends lead agencies' land use approvals and environmental determinations in judicial proceedings, and frequently heads mediation teams in settlement discussions.

Ontario regulator takes aim at crypto firm Bybit

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.

BMO Investments Inc. Announces Results of Annual and Special Meetings of Securityholders

BMO Mutual Funds are managed by BMO Investments Inc., which is an investment fund manager and a separate legal entity from Bank of Montreal.

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.

Yet Another Unregistered Broker Charged in EquiAlt Scam

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.

BCSC settles with Crystal Wealth fund manager

Rep violated suitability obligations by investing clients in funds with risky holdings

Global banks adopt markedly different back-to-work policies

Goldman Sachs was first to recall employees but rival bankers will be based at home for months

Key Private Bank Expands Use of Charles River® Wealth Management Solution

Key Private Bank has also enhanced its use of the platform, adopting compliance, data services, IBOR, and performance measurement and attribution capabilities.

Hightower Receives Conditional Approval for Hightower Trust Company, a Nationally Chartered Trust Bank

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.

Withers continues growth of California private client practice with new partner Naomita Yadav

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.

Government of Canada Selects TD Securities for First-Ever Issuance of Green Bonds

To support clients around the world transition to a low-carbon economy, TD Securities created the Sustainable Finance and Corporate Transitions Group.

US regulators urge financial firms to quickly ditch Libor rate benchmarks

"When a benchmark is mismatched like that, there’s a heck of an economic incentive to manipulate it," he warned.

Ex-Broker Who Defrauded Older Clients Sentenced to Over 5 Years in Prison

Matthes was also ordered to pay his victims restitution of $2.4 million. He had earlier pleaded guilty to three counts of wire fraud.

Bank regulators plot toughest capital rule for bitcoin

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.

Family Offices Receive Increased Regulatory Scrutiny

Review of the family office exemption could be addressed in several ways.

Latham & Watkins Advises Aon in Agreements to Sell US Retirement Business and Aon Retiree Health Exchange Business

Multidisciplinary deal teams are advising on the transactions that provide further momentum on the path to close Aon’s pending combination with Willis Towers Watson.

US To Tighten Monitoring Of Foreign Crypto Investors In Concerns Over Tax Evasion

The proposal comes as more and more global concern is voiced over the possible tax gap between taxes owed and the taxes that are being paid on time.

Legal, Regulation & Compliance