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Legal, Regulation & Compliance

04/25/2017

SEC Awards Nearly $4 Million to Whistleblower

SEC enforcement actions from whistleblower tips have resulted in more than $953 million in financial remedies against wrongdoers.

04/25/2017

HighTower nabs ex-wirehouse advisers with $500M

HighTower presented us with the opportunity to build and grow a business where our clients' best interests come first.

04/25/2017

Lawmakers question quality of KPMG's Wells Fargo audits

Why it was able to give the bank a clean bill of health for its financial statements.

04/24/2017

Deutsche Bank is first bank busted for breaking Volcker Rule

The Board also found that the firm failed to properly undertake certain required analyses concerning its permitted market-making related activities.

04/24/2017

Citi Releases 2016 Global Citizenship Report

The first section describes Citi’s values and the ways in which the firm operates responsibly

04/24/2017

Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account

In a parallel action, the U.S. Attorney’s Office for the District of Massachusetts today filed criminal charges against Amell.

04/24/2017

Investment Bank VP Charged With Insider Trading

According to the SEC’s complaint, Krishnamoorthy made approximately $48,000 in illicit profits.

04/24/2017

SSGA Retirement Policy Leader Expects Retirement Tax Reform

State Street Global Advisors is just the latest firm to tell PLANADVISER that serious policy conversations going on behind closed doors in Washington very much include retirement tax reform.

04/23/2017

Global Investment Compliance Monitoring (ICM) Survey

ICM infrastructure efficiency and effectiveness

04/22/2017

Two big California pension systems oppose nine Wells Fargo directors

"We believe these directors failed in their oversight responsibilities during the retail banking controversy at the company," CalPERS said in a statement posted on its website.

04/21/2017

Judge Moves Forward J.P. Morgan Stable Value Fund Litigation

The plaintiffs seek to represent participants in more than 300 retirement plans which were invested in 78 stable value funds, according to the court’s order.

04/20/2017

FINRA Proposes Limited Relief for Desk Commentary

The proposed safe harbor would ease many elements of the Research Rules, but many would be retained.

04/19/2017

JPMorgan accused of fraud over tech company sale

US bank engineered cut-price deal to curry favour with BlackBerry, lawsuit claims

04/19/2017

Four Hill, Kertscher & Wharton, LLP Attorneys Recognized by Thomson Reuters Super Lawyers

Super Lawyers awards are some of the most respected among attorneys due to the rigorous selection process.

04/18/2017

SEC Probes Hedge Fund That Promises Investors No Losses

Meyer said in an interview for the story that he employs a computerized system of his own design but invests most of his clients’ money in safe Treasury bonds.

04/18/2017

BDO USA Introduces Real-Time Form ADV Monitoring on eConnaissance®

The new feature also allows users to compare new and old Form ADV filings from a single fund manager, enabling investors to quickly and easily identify if, and to what extent, their risk exposure has changed.

04/18/2017

Wells Fargo chops execs' pay by another $75 million over accounts scandal

The scandal also resulted in the abrupt retirement last October of longtime CEO John Stumpf, not long after he underwent blistering questioning from congressional panels.

04/18/2017

Harbert Management pays $40 million to settle with New York over taxes

When businesses operate in and out of New York, they must allocate the income they derive from New York for tax purposes.

04/18/2017

Ex-JPMorgan analyst cleared of insider trading charges

His lawyers argued the jury had already determined Aggarwal did not intend to commit the charged crimes.

04/18/2017

Judge certifies class in JPMorgan ERISA lawsuit

A class action would be superior to individual lawsuits and that essential questions in the case can be resolved on a group basis.

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