02/23/2016
The Securities and Futures Commission (SFC) will approve a petition to punish Elliott at its policy-setting meeting today, asking the prosecution to investigate the fund for the rule breach.
02/23/2016
GBM and PSN are two of the world's leading referral and network marketing platforms for the legal and corporate sectors.
02/22/2016
The goal is to close a gap in the routine monitoring of investment advisory firms.
02/22/2016
Two-part exam designed to assess whether banks have enough loss-absorbing capital
02/19/2016
This latest move comes after the Wall Street regulator listed firm culture as a 2016 examination priority.
02/19/2016
The news was reported in the Wall Street Journal, quoting a report from Citi Private Bank’s Law Firm Group.
02/19/2016
The FBI investigation into a Ponzi scheme at the Berkeley retailer could impact owner's own legal troubles.
02/19/2016
Mahan declined to comment further about the open investigation, which is being conducted by the U.S. Attorney's office.
02/19/2016
It comes three months after Barclays agreed to pay $150 million and fire a senior electronic trading official to resolve similar claims by the New York State Department of Financial Services.
02/18/2016
As Registered Investment Advisers, family offices are subject to SEC's oversight
02/18/2016
The Hedge Fund Association is pleased to report that on February 1, 2016 the U.S. House of Representatives passed H.R. 2187, the Fair Investment Opportunities for Professional Experts Act, which incorporates the addition of a knowledge and education-based
02/18/2016
The SEC’s continuing investigation is being conducted by Drew M. Dorman, Robert B. Hanson, Jason Litow, and Kevin Gershfeld.
02/18/2016
Analysts simply cannot express one view publicly and the opposite view privately.
02/17/2016
LA-Based Independent RIA is Second Firm to Join Aspiriant in Recent Months
02/17/2016
Media sources report that Simmons has connections to Razak’s wife.
02/16/2016
With her husband on his deathbed, Brown allegedly attacked Kelly, who was pregnant, as well as Kimberly’s husband at the hospital, which made Kelly miss her father’s final moments, papers say.
02/13/2016
Clients poured money into a hedge fund billed as a safe investment backed by a computer algorithm.
02/12/2016
The legal skirmish exposes some of the tensions on Wall Street as the commodity price plunge wrongfooted many traders.
02/12/2016
Global private financial wealth is expected to grow to US$222.1 trillion by 2019
02/12/2016
Now he is also among the leading Democratic candidates for one of Florida’s United States Senate seats.