11/05/2019
In late October, the federal court in Puerto Rico ruled in favor of Carisalagen’s urgent request and ordered Lugo, whom the investment firm said has acted as its FA, to appear at a Finra hearing scheduled for this week.
11/04/2019
Anti-Corruption News Story Curated by Anti-Corruption Digest International Risk & Compliance News
11/04/2019
The lawsuit accused the company of "failing to monitor and evaluate performance the performance of the plan's fiduciaries or have a system in place for doing so."
10/31/2019
The firm provides comprehensive legal advice in areas such as banking and finance, civil law, commercial law, corporate law, immigration, labor and employment, mergers and acquisitions, arbitration, litigation, maritime and tax.
10/30/2019
The prosecutors have alleged that flaws within the Swiss private bank's compliance
10/30/2019
At UBS, Carona was a member of the President’s Council, an elite club for top producers at the company, where she had managed more than $300 million.
10/30/2019
Bank lobbyists are seeking to leverage all those issues.
10/29/2019
The House did something really big last week, and the Senate could actually follow suit soon.
10/29/2019
The letter cites "a string of regulatory rollbacks under the Trump administration in recent years that have undermined policies on good governance, transparency and ESG integration in the investment process."
10/29/2019
JPMorgan wants the court to prevent Weiss from soliciting more clients while it handles the matter through Finra arbitration, according to the publication.
10/29/2019
Capitala Group plans to expands investor base and expects the Mitsui partnership to attract Asian investors, Mr. Alala said.
10/29/2019
In effect, the SEC has quietly allowed companies to kill such proposals before they can even be presented for a shareholder vote," the lawsuit claims.
10/28/2019
Major asset managers building up their own private market offerings are hoping the brainstorming leads to change.
10/28/2019
A Crypto Capital principal, Oz Yosef, also known as Oz Joseph, has been indicted by a grand jury in New York on charges of conspiracy to commit bank fraud, bank fraud and conspiracy to operate an unlicensed money transmitting business, according to a fili
10/28/2019
According to the Dubai Chamber of Commerce and Industry, bilateral UAE-Brazil trade last year was $2.7 billion. Fernando Luis Lemos Igreja, Brazil’s ambassador to the UAE, told the Emirates News Agency WAM this weekend that it will be higher this ye
10/28/2019
Sterling seems to be discounting that surely there has to be some political resolution.
10/28/2019
The adviser should disclose conflicts that result in it or any of its affiliates, supervised persons, or associated persons receiving compensation, directly or indirectly, in connection with the securities it recommends.
10/28/2019
Tips to help your firm get certified and ready for production in April 2020
10/25/2019
This matter arose out of firm examinations conducted by FINRA’s Department of Member Supervision and referred to Enforcement.
10/24/2019
It’s now being investigated in Sweden, Estonia and the U.S. amid allegations it may have handled over $100 billion in potentially suspicious transactions, mostly from the former Soviet Union.