07/30/2015
The European Securities and Markets Authority also said it has not yet reached a view on whether hedge funds and other alternative investment funds from the United States should be given a "passport".
07/29/2015
As a result, Buck is permanently barred from selling securities at FINRA member firms.
07/28/2015
Eaton Vance Corp, which has received SEC approval to launch similar funds, called exchange-traded managed funds, disclosed the SEC's plans to deny Precidian's applications Monday morning.
07/28/2015
It is critical that firms have the necessary systems and supervision in place to ensure compliance with their OATS and trade reporting obligations
07/27/2015
In a memorandum submitted in the US District Court in Manhattan on Friday, Gupta is seeking a "certificate of appealability" that will enable him to appeal the ruling made by US district judge Jed Rakoff on July 02.
07/27/2015
In May 2014, the Securities and Exchange Commission filed a lawsuit against Palathinkal and Vineet Kalucha, the chief investment officer of Aphelion.
07/27/2015
BlackRock welcomes the decision by the Italian regulator Consob to dismiss all charges against Nigel Bolton and the firm
07/24/2015
Three former Oppenheimer & Co. employees have agreed to pay civil fines and accept securities industry bans to settle U.S. Securities and Exchange Commission charges stemming from improper sales of billions of shares of penny stocks.
07/24/2015
The United States aims to reach accords with all of them by the end of 2015.
07/24/2015
US regulators are probing large banks including Credit Suisse, Deutsche Bank and HSBC over their possible handling of tainted funds in the FIFA corruption scandal
07/24/2015
The pension fund said its "expert economists" observed wide gaps between when-issued and auction prices around December 2012
07/24/2015
Brooks Pierce McLendon Humphrey & Leonard LLP
07/24/2015
The vacancy hasn't appeared to hinder the Fed's drafting of new rules
07/23/2015
You might think your bank records–especially foreign banks–are personal and confidential.
07/23/2015
New York state's banking regulator has written to the firm behind a new instant messaging service backed by Wall Street's biggest banks asking about its document retention policies.
07/22/2015
Millions of Consumers Harmed by Bank’s Deceptive Marketing and Unfair Billing of Credit Card Add-On Products and Services, and Other Unlawful Practices
07/22/2015
B.C. Green party MLA Andrew Weaver isn't the only politician who wants to amend regulations to determine who's investing in residential real estate.
07/22/2015
Securities and Exchange Commission Republican member Daniel Gallagher said in a public comment letter that the Labor Department's plan would actually hurt the middle-class investors it is designed to help.
07/21/2015
The need to identify risks in the system has intensified
07/21/2015
J.P. Morgan faces highest capital increase of the group at 4.5% of risk-weighted assets