04/03/2019
Portfolio Advisors partner Brian Murphy, who has been leading the charge to develop the firm's presence in Latin America, said the company has increased its focus on Chilean pension funds following regulatory changes that gave the AFPs more access to
04/03/2019
The amendments, some of which are technical in nature, touch a variety of disclosure requirements impacting registration statements and current and periodic reports.
04/02/2019
Announcement comes ahead of 3rd Global Business Forum Latin America and follows office openings in Panama and Brazil
04/02/2019
The push to regulate hedge funds and similar investment firms took off after the Sept. 11 attacks, when Congress passed the Patriot Act.
04/01/2019
These MOUs will come into force on the date EU legislation ceases to have direct effect in the United Kingdom.
04/01/2019
Retailer Tesco and aero-engines group Rolls-Royce agreed DPAs with the SFO in 2017
03/29/2019
The accreditations are objective proof of our strong control environment.
03/29/2019
'The net is tightening,' says National Revenue Minister Diane Lebouthillier
03/29/2019
“An obvious spoofing case is communications asking to buy, but the trader first introduces orders to sell – in order to manipulate the market – then to buy, before then removing the sell order and letting the buy being executed at a lowe
03/29/2019
The new tax is effective for 2018 and subsequent taxable years.
03/29/2019
The businesses are set to close their transaction on May 1, 2019.
03/28/2019
Writing on behalf of the court, liberal Justice Stephen Breyer said perpetrators of securities fraud could escape liability if the law were interpreted too narrowly.
03/28/2019
Accurate and complete transaction reporting helps underwrite market integrity and supervise firms and markets. In particular, transaction reports help the FCA identify potential instances of market abuse and combat financial crime.
03/28/2019
The approved settlement requires the bank to pay $13.46 million into a settlement fund for nearly 6,000 class members.
03/27/2019
I'm not here to blame anyone else
03/27/2019
This plan includes and amendment extending the offence of money laundering to include 'recklessness' as an alternative criterion for prosecution.
03/27/2019
Based on its findings, the SESC made a recommendation to the Prime Minister and the FSA (Financial Services Agency) commissioner that an administrative monetary penalty payment order should be issued in regard to the alleged market manipulation.
03/26/2019
Firms from outside of California continue to show interest in growing their LA presence.
03/22/2019
The former hedge fund founder denies touching anyone inappropriately.
03/22/2019
He told investors the fund was “earning substantial returns,” but it was actually “earning substantial losses,” by 2014, according to the statement.