07/05/2017
A subsequent period of underperformance saw a number of investors pull their money, only for Saba to bounce back and attract fresh capital with a market-beating 3 percent gain in 2015 and returns of 22 percent in 2016, one of the sources said.
06/30/2017
At Therium's U.S. operations, Weisman joins CEO Eric Blinderman, who left Proskauer last year to launch the financier's American offshoot.
06/30/2017
"Mr. Ng acted in good faith at all times," Park said.
06/30/2017
The SEC’s examination comes after it found instances in which firms violated securities laws by directing winning trades to their own employees and favored clients.
06/29/2017
ALM First is a leading strategic partner within the financial industry, providing commission-free, fee-based services to more than 250 institutions across the country.
06/28/2017
Nearly 40% or 31 of the new promotions are women; a market-leading number for any law firm.
06/27/2017
Australian supermodel Miranda Kerr has handed over $8.1m (£6.4m, €7.2m) worth of jewellery to US authorities that she allegedly received from former boyfriend Jho Low, a person of interest in the 1MDB scandal.
06/27/2017
While having neither admitted nor denied the accuracy of the facts and conclusions of OSC Staff, the RBC Registrants have agreed to the settlement, and intend to compensate clients a total of $21,802,231 including opportunity costs on fees.
06/26/2017
A regulation by enforcement culture encourages broker-dealers to “always be on the defense, she added.
06/23/2017
The deal pushed arbitration winnings this year by Barclays
06/23/2017
Clean bill of health from Federal Reserve opens door to increased shareholder payouts
06/22/2017
We could have that group regulated one way and have everyone else regulated less, a lot less.
06/22/2017
In a recent interview with SearchCIO, Sculley said meeting industry compliance rules can help offset the numerous data security threats facing modern companies.
06/21/2017
This benefits the bank in the long run due to the jump in interest payments over the longer loan period.
06/19/2017
The banks being tested will return $121 billion to shareholders in the form of dividends and share buybacks over the next four quarters
06/19/2017
SFTR requires EU counterparts engaging in securities finance transactions to report trade data to a registered Trade Repository.
06/19/2017
Mexico did not make a reservation with regards to the application of Article 3of the MLI.
06/16/2017
The push follows announcements the SEC made in February that robo advisers will not be exempted from any of the legal obligations that apply to other advisers.
06/15/2017
He'll owe 15 percent of his gross income until his fine is paid off.
06/15/2017
The changes lowered home owners' monthly mortgage payments, but it also meant they'd owe Wells Fargo a lot more money over a much longer period of time.