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Legal, Regulation & Compliance

02/18/2016

Hedge Fund Association Applauds Passage of House Bill Expanding Definition of Accredited Investor

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

Ex-Deutsche Bank Analyst In Big Trouble Over Big Lots Rating

The SEC’s continuing investigation is being conducted by Drew M. Dorman, Robert B. Hanson, Jason Litow, and Kevin Gershfeld.

02/18/2016

Ex-Deutsche Bank Analyst Banned Over Rating at Odds With Opinion

Analysts simply cannot express one view publicly and the opposite view privately.

02/17/2016

Aspiriant Enters Agreement with the Glowacki Group

LA-Based Independent RIA is Second Firm to Join Aspiriant in Recent Months

02/17/2016

Kimora Lee Simmons’ Husband Caught Up in Massive Scandal

Media sources report that Simmons has connections to Razak’s wife.

02/16/2016

Daughters of late Wall Street tycoon say dad’s wife is ‘greedy’

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

FINRA Bars 2 Advisors Who Misled Clients into Hedge Fund That Tanked

Clients poured money into a hedge fund billed as a safe investment backed by a computer algorithm.

02/12/2016

Former oil trader files whistleblower suit against Carlyle

The legal skirmish exposes some of the tensions on Wall Street as the commodity price plunge wrongfooted many traders.

02/12/2016

Developments in Offshore Permanent Capital Vehicles

Global private financial wealth is expected to grow to US$222.1 trillion by 2019

02/12/2016

Alan Grayson’s Double Life: Congressman and Hedge Fund Manager

Now he is also among the leading Democratic candidates for one of Florida’s United States Senate seats.

02/11/2016

Helpful Policies To Address Office Romances This Valentine’s Day

Companies must be equipped to handle office romances by updating or implementing policies regarding sexual harassment and its reporting procedures, no fraternization, and potentially “Love” or “Cupid” Contracts.

02/11/2016

What Are Boomer Parents Doing Regarding Inheritance Planning?

Interestingly, there is one item the majority of the parents apparently have in common: they are afraid of running out of money.

02/11/2016

Morrison & Foerster Named Best Law Firm For Private Placements

The awards were based on information collected by the publication from institutional investors, borrowers, service providers, and private equity houses.

02/11/2016

EU and US strike derivatives regulation deal

Officials from the European Commission and its US counterpart, the Commodity Futures Trading Commission, confirmed on Wednesday they had reached an agreement.

02/10/2016

K2 Intelligence Announces Los Angeles Outpost

K2 Intelligence now reports having 300 employees and other offices in Geneva, London, Madrid, New York and Tel Aviv.

02/10/2016

Four Troutman Sanders Partners Recognized as BTI Client Service All-Stars

These lawyers are selected by corporate counsel based upon what they define as superior client service.

02/10/2016

How Bernie Sanders's Supporters Would Punish Wall Street Bankers

Many of the Vermont senator's admirers want to see those who helped cause the financial crisis put in jail.

02/09/2016

SEC: Miami Firm Broke Anti-Money Laundering Protocols

The SEC’s continuing investigation has been conducted by Scott A. Lowry

02/07/2016

Record number give up US citizenship, green cards – US Treasury

The list of individuals deciding to expatriate is published on a quarterly basis by the Internal Revenue Service.

02/05/2016

Julius Baer announces final settlement with the U.S. Department of Justice regarding its legacy U.S. cross-border business

This settlement is the result of Julius Baer’s proactive and long-standing cooperation with the DOJ’s investigation.

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