Managers of Wealth Americas

Maples Group Receives 2024 Montreal Top Employer Honours

This past year the Montreal office unveiled its brand-new, state-of-the-art social and conference space.

IQ-EQ wins ‘Best Regulatory Reporting Solution’ at Fund Intelligence Operations and Services Awards 2024

IQ-EQ was awarded ‘Best Regulatory Reporting Solution’, rewarding our commitment to providing top-tier regulatory reporting services to the global market.

Ogier advises Burford Capital on US$275 million private offering

Burford Capital is the leading global finance and asset management firm focused on law.

Fed officials worried about 'the risks of moving too quickly' on rate cuts: Minutes

The minutes offer new insight into a closed-door conversation where the Fed's Federal Open Market Committee decided to hold the benchmark interest rate steady

Pragmatic Approaches to the Corporate Transparency Act

You can't ignore the CTA.

J.P. Morgan, State Street quit climate group in blow to investor activism

They do not appear to be celebrating the bank's generosity to its juniors.

Viva Wallet acquisition turns sour for JPMorgan as lawsuits filed

Under the terms of JPMorgan’s investment in Viva, the bank can take full control of the fintech if its value is below €5bn in June 2025.

Credit Suisse officials, KPMG beat US lawsuit over bank's demise

KPMG was accused of "active complicity," with its New York offices being "all but part of" Credit Suisse's nearby offices, before PricewaterhouseCoopers became the bank's auditor in 2020.

SEC Fines Firms $81M For Off-Channel Communications Lapses

Northwestern warned employees that using unapproved comms methods (including on personal devices or email) was not permitted.

Exclusive-Citi hit by new Fed rebuke, setbacks on consent orders

Separately, Citi's internal audit unit said more work was needed in at least one instance to address problems previously raised by regulators

Ocorian expands global regulatory team with Bovill acquisition

Bovill’s team of 81 specialists, complementary services and global footprint will combine with Newgate, Ocorian’s existing regulatory and compliance business in the UK and Guernsey

Monetary policy to give way to fiscal policy

The pause in rate hikes that started in late 2023 should help facilitate industrial transformation and support economic growth.

10 key regulatory issues facing wealth management this year

The report includes predictions "based solely on the author's 35 years of experience involving policy issues

US Corporate Transparency Act: Beneficial Ownership Information Reporting

Non-compliance poses severe consequences, and yet many business owners affected by this mandate are not aware of it.

SEC: Ex–Morgan Stanley FA Fleeced Clients out of $3.5M

Jesus Rodriguez was also arrested earlier this month on charges of wire fraud.

Pembroke Private Wealth Management Ltd. Refiles Fund Fact and Interim Management Report

No other changes were made to the Documents.

Alberta a new rival for global captive leaders

Since becoming a captive jurisdiction in 2022, Alberta has licensed 17 captive insurance companies and is prepared to welcome more.

New Jersey Enacts Privacy Law

The Privacy Act applies to controllers of personal data that conduct business in New Jersey

US Fines ICBC Over AML, Disclosure Failures

Multiple deficiencies were found at ICBC’s New York branch during its BSA/AML compliance program from 2018 to 2022.

Chipping away at the investor exception? Implications of the YA global case for foreign investors in US private funds

The court held further that all of the fund's earnings during the relevant period—a combination of gains, interest, dividends, and fee income—were "effectively connected" with the fund's US trade or business

Legal, Regulation & Compliance