03/09/2018
Wells Fargo Advisors spokeswoman Shea Leordeanu said in an emailed statement that the firm has made “significant progress in our work to identify and fix any issues, make things right and build a better, stronger company.”
03/09/2018
Self-regulatory organizations, or SROs, such as stock exchanges, that can help self-police virtual currency markets.
03/09/2018
The SEC’s investigation of Merrill Lynch was conducted by Helaine Schwartz
03/08/2018
The firm, a market leader in the subscription finance space for over a decade, has sponsored this event since its inception.
03/08/2018
“NYSE’s violation of the prior SEC order was a significant factor in assessing the civil penalties in this matter.”
03/08/2018
Global investigations and strategic intelligence firm established to provide corporations, law firms, hedge funds, private equity firms, family offices and high-net-worth individuals with high-quality analysis and intelligence in support of their most cri
03/07/2018
Murphy, who was registered as a financial and operations principal at two other firms in addition to Noble Capital, agreed to the sanctions without admitting or denying the fundings.
03/07/2018
The Hawks consider Ajay Gupta a fugitive after he failed to hand himself over for arrest.
03/07/2018
The complaint targeting the 2013 picture, directed by Martin Scorsese, is among more than two dozen forfeiture lawsuits filed by the U.S. against $1.7 billion assets that were allegedly acquired with money stolen from 1Malaysia Development Bhd.
03/02/2018
Regulators will soon begin crafting so-called secondary laws, which will determine key details for companies in the sector.
03/02/2018
It announced the ICO launch in October last year and said at the time the offering would be legally compliant with SEC rules using an instrument called the Simple Agreement for Future Tokens.
03/02/2018
The U.S. Justice Department instructed Wells Fargo in late 2017 to investigate its wealth management business
03/01/2018
Regulator issues subpoenas to parties engaged in booming market for initial coin offerings
02/28/2018
Also on January 5, 2018, investigators from the Manhattan DA’s office seized six artifacts from New York antiquities dealers Phoenix Ancient Art.
02/28/2018
The project we are launching today will enable us to better understand the options for improving the application of transfer pricing rules in Brazil, and achieving greater convergence.
02/26/2018
A procedural prudence standard and a suitability standard are similar in that they both require the fiduciary to demonstrate they are acting in best interests of another.
02/26/2018
SS&C has been providing global, middle- and back-office and performance measurement outsourcing services for more than 20 years.
02/26/2018
Roomy Khan, who was jailed for financial crime in US, says a professional culture encouraging fraud led her to insider trading
02/26/2018
The statement also said State Street will monitor the companies’ lobbying activities.
02/23/2018
The Court’s opinion in Digital Realty v. Somers[2] resolved a circuit split between the Ninth and Second Circuits, on the one hand, which had agreed with the SEC’s interpretation, and the Fifth Circuit, on the other.