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.
10/24/2019
The main change is the creation of a retirement age - 65 for men and 62 for women.
10/24/2019
The United States is one step closer to putting an end to anonymous shell companies with the Corporate Transparency Act passing the House of Representatives.
10/24/2019
Christopher Jehan, Managing Director of Midshore Guernsey, said: "Our American joint venture aims to feed more US-sourced work into the island, utilising both our services and those of the local financial services sector.
10/23/2019
Swiss prosecutors said they had submitted the case to the Federal Criminal Court under an accelerated proceeding to conclude a case more quickly, in which an admission of guilt and acceptance of civil claims by the accused was required.
10/23/2019
NEPC consultants said in the memo that Mr. Fisher’s remarks were “sufficiently inconsistent with NEPC’s values to warrant a due diligence response.”
10/23/2019
Banks would share responsibility to report clients’ misdeeds
10/23/2019
"As fiduciaries, we must always act in the best interest of the system and our members," Mr. Higgins said.
10/23/2019
Banks could also pull customer information from the database with customer consent—an ability they expect will help their efforts to comply with federal regulations.
10/23/2019
The new wealth-management office is Chicago-based Northern's first since 2011 when it opened in the nation's capital.
10/22/2019
Two new indictments come days after similar accusation against a Goldman Sachs banker
10/22/2019
This statement, while made to one regulatory body, in relation to one blockchain project, carries much wider, international resonance.
10/21/2019
The Bureau’s moves come after the M&A market has enjoyed relatively high activity in the past two years.
10/21/2019
Bryan Cohen accused of tipping off trader about bids involving Syngenta and Arby’s
10/17/2019
In April, Highland had said it did not have enough cash on hand if it was asked to pay the investors eventually.
10/17/2019
In April, Highland had said it did not have enough cash on hand if it was asked to pay the investors eventually.
10/16/2019
Robert Shapiro led a $1.2 billion Ponzi scheme over six years that hurt some 8,400 investors.