10/14/2022
LGT Navigator: Federal Reserve remains undeterred
US Stock markets continued to slide on Wednesday after the Federal Reserve once again reaffirmed its restrictive monetary policy course.
Legal, Regulation & Compliance
10/14/2022
Roth IRAs Remain Attractive Planning Tools Despite Recent Bills
The Roth IRA is a popular and often effective tax and retirement savings tool for a wide range of taxpayers.
10/12/2022
RBC under investigation by Competition Bureau over climate claims
Competition Bureau spokesperson Marie-Christine Vézina confirmed an investigation into RBC's alleged deceptive marketing was initiated at the request of six Canadian residents.
10/11/2022
Financial adviser guilty of fraud in case related to client’s murder
He was found by his wife when she returned to their home near Dallas on the evening of Feb. 19, 2020.
10/07/2022
Snapshot: considerations for Chilean pension funds investing in offshore funds
In some circumstances, there can be time-pressure to obtain the confirmations in order to meet the investment closing deadline.
10/07/2022
Ogier Leman advises creative agency Connelly Partners on cross-border acquisition of Zoo Digital
The advisory team included partner Dominic Conlon, head of Corporate, and associate Aaron Kelly.
10/07/2022
Celsius execs cashed out $21 million before bankruptcy
The next hearing for Celsius is scheduled for later today, the 7th of October.
10/06/2022
FINRA Fines Barclays Capital Inc. $2 Million for Best Execution Violations
FINRA included best execution as a topic in its 2022 and 2021 FINRA Examination and Risk Monitoring Program reports, as well as its 2020 and 2019 Annual Risk Monitoring and Examination Priorities letters.
10/05/2022
UBS Hit with Another US Fine
Although UBS conducted annual reviews of its systems, it failed to identify the improper treatment of shares associated with long-selling activities by clients.
09/30/2022
M&T Bank Corporation Announces Agreement to Sell M&T Insurance Agency to Arthur J. Gallagher & Co.
Piper Sandler & Co. is acting as exclusive financial advisor and Hodgson Russ LLP is acting as legal counsel to M&T Bank.
09/28/2022
Comparing litigation in the US versus England & Wales
The process also allows parties – where possible – to resolve the dispute on a pre-action basis without the involvement of the court.
09/27/2022
Six partners from Ogier's Latin American team ranked by Latin Lawyer 250
Ogier's Latin American practice began in Brazil, where the firm has a significant history dating back to the early 1990s, mostly as an investment funds practice catering to some of the region's key banking institutions.
09/26/2022
Banking Labs partners with Anaplan to arm North American Banks with intelligence planning solutions
Strategic partnership will enable Banking Labs, with deep domain expertise, to bring best-in-class implementations of the Anaplan platform to the financial services industry
09/23/2022
Carey Olsen and Langham Hall support Telstra Ventures on launch of new US$350m venture fund
Telstra Ventures has an innovative approach to investing with data science at the core of its investing criteria and we're pleased that such a high calibre promoter with international reach continues to be drawn to Guernsey.
09/21/2022
Morgan Stanley Pays $35M SEC Fine Over Data Security
About 15 million clients’ details were compromised over a five-year period starting 2015.
09/20/2022
Chambers High Net Worth 2022 Recognizes Morgan Lewis for Private Client Work
The team also advises major universities, secondary schools, and cultural organizations on their planned-giving programs.
09/19/2022
Big US Regional Banks Could Face New Crisis Regulations
Can a financial institution be too small for regulations but also too big to fail? We may be about to find out. American financial authorities are...
09/16/2022
Janus Henderson faces ERISA suit over management of 401(k) plan
They have used the plan to promote Janus Henderson's proprietary investments and earn profits for Janus Henderson
09/16/2022
U.S. Bancorp and Mitsubishi UFJ Financial Group Extend Purchase Agreement
U.S. Bank and MUFG continue to plan for required regulatory approvals and closing in the second half of 2022
09/14/2022
JPMorgan, Bank of America cautious on job cuts as Goldman layoffs loom
That stance compares with plans by Goldman Sachs Group, according to a source familiar with the matter, to cut jobs as early as this month after pausing the annual practice for two years during the pandemic.