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.
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.