09/03/2015
SEC Charges Advisory Firm With Fraud for Improperly Retaining Fees
The SEC’s order finds that Taberna, which is a subsidiary of RAIT Financial Trust, violated Section 15(a) of the Securities Exchange Act of 1934
09/03/2015
Voya Launches Hybrid Platform for Advisors
For existing Voya advisors who meet the eligibility requirements and are already registered as investment advisors
09/03/2015
Taberna Capital Pays $21.5 Million to Settle SEC Charges
Taberna agreed to pay a $6.5 million penalty
09/03/2015
Fraud-related case continued
Investigators allege there had been multiple incidents of obtaining property by false pretenses.
09/03/2015
Brokers have been building big books of securities-based loans to wealthy clients over the past few years.
09/02/2015
Bank’s wealth-management unit ordered to pay two investors for losses tied to island’s municipal bonds
09/02/2015
The deal was struck the day before a trial in the long-running case was to begin.
09/02/2015
The AIFMD passport is currently only available to EU AIFMs and EU AIFs.
09/02/2015
Under FATCA, firms have to report financial data held on file about any accounts controlled by US customers.
09/01/2015
Areas in which the fund will invest include manufacturing , hi-tech, agriculture, energy and mining companies, as well as infrastructure projects.
08/31/2015
Argentina is lobbying internationally for tighter controls on the activities of junk debt specialists, which President Cristina Fernandez's leftist government brands "vultures.
08/30/2015
Arena Investors, which currently has around $15 million of Mr. Zwirn’s family money, will invest money on behalf of institutional investors including insurance companies
08/28/2015
Litigation financing moves into a new realm
08/28/2015
Morgan denies the allegations.
08/28/2015
These regulations are intended to address (among other things) waivers of certain management fees by private equity fund managers in exchange for increased future payments.
08/28/2015
A UBS spokesman said OFAC agreed that the bank's conduct in this case "was not egregious.
08/28/2015
These have been available for estate planners for the last two decades
08/28/2015
He asked a London judge for more time to prepare an expert report on trading
08/27/2015
In a statement, Barclays said it was “pleased with the court’s thorough and well-reasoned decision dismissing all the allegations in the complaints
08/26/2015
A closer look at how the controversial new metric affects institutional investors.