08/31/2020
Under this “soft” cap, if the SEC obtained over $300 million in sanctions from a fraudster, the whistleblower whose information triggered the enforcement action would be presumptively limited to the lowest percentage award (i.e., a 10 percent
08/28/2020
The main proponent of the controversial proposals is the Chamber of Commerce, which has a long record of opposing every law, rule, or judicial precedent that helps whistleblowers.
08/28/2020
Critics — including two SEC Commissioners — take issue with the new standards.
08/27/2020
These income estimates would be under two potential scenarios: for the participant as a single life income stream, and as an income stream that factors in a survivor benefit for a spouse.
08/27/2020
The SFG team will continue to provide the professional financial planning, investment management and high touch service our clients have come to know and love, while Hightower brings back office support, advanced technology and NextGen training to our tea
08/27/2020
The Commission also took into account the staff's experience with Regulation S-K arising from the Division of Corporation Finance's disclosure review program and changes in the regulatory and business landscape since the adoption of Regulation S
08/26/2020
Langdon added that LPL’s self-clearing abilities will also make transactions very smooth for clients.
08/25/2020
Withers has partnered with the New York City Bar to help educate New Yorkers about this issue and urge the City to include and prioritize homeless shelters in its plan to expand broadband internet access for low-income New Yorkers.
08/25/2020
The IRS believed that taxpayers could make QEF elections with respect to PFICs in which they hold an interest for the purpose of securing passthrough treatment without the application of section 1061.
08/25/2020
Wells Fargo will also extend 580 job offers to applicants affected by the alleged bias, the Labor Department’s Office of Federal Contract Compliance Programs said.
08/24/2020
Economist argues globalization has gouged the middle class, propped up elites and given rise to a dangerous brand of populism
08/24/2020
The bank will provide severance and career assistance to affected staff.
08/24/2020
The bill is set to be voted on in the full Senate.
08/23/2020
The rep was terminated after Raymond James “identified emails suggesting involvement with an unapproved outside business activity,” based on a disclosure on his BrokerCheck report.
08/21/2020
In this Legal Update, we review a number of observations and suggestions the OCIE has made where there may be heightened risk due to COVID-19.
08/21/2020
A resurgence of virus infections in several areas is threatening to choke the recovery and could flatten growth in the second half of 2020 and beyond.
08/21/2020
They may struggle to retain and compensate their most marketable partners if they can’t bolster their firm’s finances by the end of the year.
08/21/2020
MetLife and Barnum Financial Group have a shared passion for giving people the tools and insights they need to pursue their dreams with confidence.
08/21/2020
There were 229 comments from investment-related groups, 94% of which were opposed, the analysis found.
08/20/2020
The Vision programme was designed in partnership by HSBC Global Asset Management and HSBC Private Banking.