06/09/2016
The SEC found that the investment banking giant Morgan Stanley failed to take proper precautions to safeguard customer data during a hack that resulted in private information being offered for sale online.
06/09/2016
Brazil's central bank has already given the deal a thumbs up.
06/08/2016
They are leaders who have demonstrated tremendous professional expertise, collaborative spirit and dedication to the firm’s core values of Passion, Integrity, and Stewardship.”
06/08/2016
“This is a game changer, where 50 percent of your business on average will be impacted.”
06/08/2016
The law firm said that it has made an extraordinary effort to comply with NML’s various requests and has never been accused of wrongdoing by any court.
06/08/2016
The SEC asked a federal judge in Massachusetts on Friday to approve the settlement agreement.
06/08/2016
Dentons lawyer denied involvement, threatened lawsuit before letter was public
06/07/2016
Ludwin told listeners they should be “running toward this opportunity.”
06/07/2016
Fintech companies want a less-regulated environment to test new consumer products.
06/07/2016
Disclosure incidents can involve allegations from disputes headed for arbitration to illegal conduct.
06/07/2016
The Law expands the definition of what collateral can be secured, allowing security interests to be created over previously unsecurable collateral.
06/07/2016
Upon the closing of the transaction, senior management at each of the firms will continue to hold an unchanged majority of the equity in each respective business and retain operating autonomy in the business under the same terms as the prior arrangements
06/06/2016
The Fed’s rule-writing process is at an early stage that’s meant to draw public comments to help the regulators craft a more formal plan.
06/03/2016
The founder of once high-flying children’s animation company Cinar Corp. and two investment executives he dealt with have been found guilty of fraud and other charges
06/03/2016
Given by and for alumni of the exclusive Groton School, northwest of Boston, the event, titled, without irony, “From Schoolroom to Boardroom,” was a typical gathering for the East Coast elite to slap backs, make connections, and further alread
06/03/2016
DOL's rule accelerates an opportunity for these firms to wrap products into advice-driven online platforms
06/03/2016
The case has been assigned to Chief U.S. District Judge Colleen McMahon of the Southern District of New York.
06/03/2016
General Dynamics remains a large portion of the family’s $8.8 billion fortune as estimated by Forbes last year.
06/03/2016
CFTC Division of Enforcement staff members responsible for this action are Melissa Cavers, Michael Frisch, Susan Gradman, Scott Williamson, and Rosemary Hollinger.
06/02/2016
The task force focuses on current issues and practices within the broker-dealer community and develops national initiatives for potential investigations.