12/15/2020
SEC slaps former Argo boss Watson with fine for misrepresenting pay
The SEC said the money from the fine will be transferred to the general fund of the US Treasury.
12/11/2020
Three-year extension to include collaborative research on multi-generational families and their businesses December 10, 2020 10:00 AM Eastern Standard Time CHICAGO--(BUSINESS WIRE)--Northern Trust, a leading provider of wealth management services, a
12/10/2020
Facebook faces multiple US lawsuits that could force sale of Instagram, WhatsApp
The lawsuits highlight the growing bipartisan consensus to hold Big Tech accountable for its business practices and mark a rare moment of agreement between the Trump administration and Democrats, some of whom have advocated breaking up both Google and Fac
12/10/2020
US Cryptocurrency Creator Faces Criminal Tax Evasion Charges
Elmaani is charged with two counts of tax evasion, each of which carries a maximum sentence of five years in prison.
12/10/2020
The adopted rules also update the method by which NMS market data is consolidated and disseminated, by fostering a competitive environment and providing for a new decentralized model that promises reduced latency and other new efficiencies.
12/10/2020
Having executed a successful internal buyout, the firm is well positioned to continue its growth strategy with the now re-structured senior management team and reiterate its commitment to its advisors and the industry to remain a privately held company.
12/09/2020
76% of Gen Z and 62% of Millennials believe that having a financial advisor is worth the cost
12/08/2020
The risk alert covers a fairly comprehensive set of compliance program deficiencies the OCIE staff has identified in a sample of deficiency letters from recent adviser examinations.
12/08/2020
This consolidated, wide range of data will constantly be at peril from fraudsters and cybercriminals.
12/07/2020
The banking veteran, who took over at the helm in 2012, didn’t reveal the specific governments the bank was working with.
12/07/2020
But the Chamber has dropped its opposition and now supports the measure as lawmakers addressed the group’s privacy concerns.
12/04/2020
The rep was suspended for 10 days and fined $5,000 for alleged actions when leaving to join Raymond James.
12/03/2020
Warner, who authored the Senate version of the legislation, applauded the inclusion of it in this year’s NDAA.
12/01/2020
Cayman Islands partner Andrew Barker, Hong Kong partner Jo Lit and Legal Manager Kevin Ho advised the company on the Cayman Islands law aspects
12/01/2020
Companies listed on the Nasdaq Global Select Market and Nasdaq Global Market will be expected to have two diverse directors within four years of the SEC’s approval of the listing rule.
11/30/2020
The bank is planning a coronavirus-induced overhaul of its business model, seeking to shift its main source of income from interest rate to fee-based businesses.
11/30/2020
Those disclosing SARs need to be confident that, when filing them, their data will remain confidential. If not, then they need to have the right to a remedy against FinCEN.
11/27/2020
According to Feere, the town has previously developed two management plans with the help of a consultant.
11/27/2020
According to data from Trussle, the average completion time varies across the country, with a median of 96 days in the South East and 166 days in the East Midlands.
11/26/2020
Also under fire for its role in long payment delays is the state Employment Development Department, which first signed the contract with Bank of America in 2010 and earlier this year amassed a backlog of 1.6 million unpaid jobless claims amid mounting con