Managers of Wealth Americas

Goldman Sachs 401(k) participant sues over alleged fiduciary lapses

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."

Andersen Global Expands in Central America

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.

J. Safra Sarasin private bank under investigation in Brazil corruption case

The prosecutors have alleged that flaws within the Swiss private bank's compliance

UBS Star Ex-Broker Wins $1.5 Million Gender Discrimination Award

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.

Banking companies are utilizing their Washington clout to stomp on the tech business

Bank lobbyists are seeking to leverage all those issues.

American Kleptocrats Finally Feel the Heat

The House did something really big last week, and the Senate could actually follow suit soon.

PRI asks signatories to join in effort to prod U.S. to act on responsible investment

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."

JPMorgan Goes After FA Who Left for Raymond James

JPMorgan wants the court to prevent Weiss from soliciting more clients while it handles the matter through Finra arbitration, according to the publication.

Capitala Group partners with Mitsui U.S. subsidiary

Capitala Group plans to expands investor base and expects the Mitsui partnership to attract Asian investors, Mr. Alala said.

Sierra Club sues SEC over denial of climate-related shareholder resolutions

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.

SEC looking to open private markets to a wider audience

Major asset managers building up their own private market offerings are hoping the brainstorming leads to change.

Crypto Capital Official Nabbed in Money Laundering Probe

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

Brazil and the UAE sign deal to deepen trade ties

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

Fed Should Continue to Deliver

Sterling seems to be discounting that surely there has to be some political resolution.

SEC’s Investment Management Division posts FAQ clarifying compensation-related disclosure obligations of investment advisers

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.

Legal, Regulation & Compliance