07/17/2019
The SEC’s orders further find that Nomura lacked compliance and surveillance procedures that were reasonably designed to prevent and detect this misconduct, which inflated the firm’s profits on CMBS and RMBS transactions at its customers&r
07/16/2019
The states were allowed to require a notice filing, which means you are not actually registering, but giving notice of intent to sell in the state.
07/16/2019
Charged with pursuing tax crimes, one of those first agents, Elmer L. Irey, would lead the new crime fighting unit and change history.
07/16/2019
Chambers & Partners, one of the world’s leading legal directories, conducts independent research that relies on feedback from industry leaders and clients to identify the top attorneys and law firms from around the world.
07/16/2019
The securities firm used algorithm-based trading through direct market access.
07/16/2019
“We’ve seen a greater need for us to make investments in terms of risks, compliance and audit, all those things that we’re going to need to make investments in, in order to satisfy the requirements of our regulators,” said Interim
07/15/2019
Katten also was commended for the outstanding legal services it provides in Private Wealth Disputes in New York.
07/15/2019
The final amount of the fines may well be decreased in court.
07/15/2019
Also known as the Butch Lewis Act, the bill would establish the Pension Rehabilitation Administration and a related trust fund within the Treasury Department
07/15/2019
Even if it were to pass the full house, it would still have to pass the senate which would also likely be an uphill struggle.
07/14/2019
Prosecutors allege that Ficeto, Homm and the other co-conspirators “fraudulently manipulated the penny stocks to inflate and artificially prop up their prices to exaggerate the purported profitability of the Absolute Capital hedge funds.
07/12/2019
Prosecutors say 66-year-old is 'extraordinary' flight risk
07/12/2019
Fund 5 has been established as a Cayman Islands exempted limited partnership, with IMF Bentham and its related entities providing investment management and advisory services.
07/11/2019
The lawsuit was filed eight months after Societe Generale agreed to pay $1.34 billion
07/11/2019
Industry Pioneer Continues to Expand its Integrated Offerings for the Advisor Community
07/11/2019
The change, published in a regulatory notice, is the latest effort by a U.S. financial regulator to highlight cooperation programs, which they say are central to their enforcement efforts.
07/09/2019
An appreciating currency is a particular worry for a Canadian economy weighed downed by household debt and banking on its exporters to carry more of the growth burden.
07/08/2019
McAfee's immediate goal is to win the presidential nomination of the Libertarian Party, which advocates for free trade and a sharply reduced federal government
07/08/2019
US billionaire will reportedly appear before a federal magistrate on Monday
07/08/2019
The Supreme Court accepted the case, Thole vs. U.S. Bank, after it was dismissed by a lower court and the 8th U.S. Circuit Court of Appeals in St. Louis.