02/03/2016
Two client advisers from Julius Baer Group Ltd. accused of helping Americans evade taxes are expected to plead guilty in New York on Thursday, when the Swiss bank will resolve its own criminal case by agreeing to pay $547 million, according to two people
02/03/2016
It may also make it easier for U.S. investors to pursue some claims over alleged foreign fraud, despite a series of recent rulings limiting the reach of domestic laws.
02/01/2016
The SEC and New York Attorney General had planned to announce the joint settlement Monday before it was reported by The Wall Street Journal Sunday morning.
02/01/2016
Since 2009, the government has been cracking down on insider trading in the hedge fund industry with dozens of arrests and convictions made.
01/29/2016
Cadwalader's Financial Services team advises a broad range of clients, including broker-dealers, swap dealers, banks, investment advisers, funds of all types, pension plans, and securities and futures markets.
01/27/2016
Choice of former IMF official to head anti-money-laundering unit stirs criticism
01/26/2016
The IRS updated its list of foreign banks where accounts trigger a 50% rather than 27.5% penalty in the IRS’s long-running Offshore Voluntary Disclosure Program.
01/26/2016
Bottom line: Be proactive, prepared and aware
01/25/2016
Cybersecurity was one of the most important issues for alternative investment firms during 2015.
01/25/2016
Their innovative thinking and vision will strengthen our ability to serve our clients, drive transformation and create value around the world.
01/25/2016
Former Summit Chief Operating Officer Angelo Alleca and former fund administrator Mark Morrow were arraigned in Georgia federal court.
01/24/2016
Legal case could draw attention to the industry’s hiring and retention policies
01/22/2016
Sullivan initially ordered Bank of China to turn over customer records in 2011. He renewed his order in September, after a federal appeals court told him to revisit the matter.
01/22/2016
In the OCC action, which was signed last month by Chen Xu, head of the bank's New York branch, the lender's US division agreed to fix policies for finding and reporting suspicious behavior among its customers, keep better track of currency trans
01/21/2016
TFF’s registration statements disclosed that Equinox charged management fees based upon the net asset value (NAV) of each series.
01/21/2016
The case was supervised by Daniel Michael and Steven Rawlings.
01/21/2016
From medical marijuana growers to pot private equity firms
01/19/2016
Residents of Brazil with undeclared offshore assets can now voluntarily declare and regularise their tax affairs without facing criminal prosecution and only face a one-off charge and penalty.
01/15/2016
The CFTC Order requires OCI to pay a $140,000 civil monetary penalty and to cease and desist from further violating CFTC Regulation 30.4, as charged.
01/15/2016
The SEC filed a complaint against Crowe today in U.S. District Court for the Southern District of Ohio.