06/05/2015
Investment Management Lawyer joins Global law firm
From 1990 to 1996, she was at the SEC, beginning in the Division of Enforcement and then moving to the Division of Investment Management, where she became Assistant Chief Counsel.
06/04/2015
The good news is that firms have stepped up supervision over senior activities
06/04/2015
The SEC has said this data would include information relating to the pricing of portfolio securities
06/03/2015
The plan requires mutual funds to publish their exposure to derivatives, repurchase agreements
06/03/2015
Ever since subprime mortgages helped torpedo the American financial system, a quiet revolution has taken place in the home loan industry
06/03/2015
The Justice Department indictments for corruption that rocked the world of soccer last week also raises questions once again about the behavior of major global banks, including the three biggest U.S. banks
06/03/2015
The US Attorney's Office for the Southern District of New York then initiated civil forfeiture proceedings against those assets and eventually obtained default judgments of forfeiture, the statement added.
06/03/2015
Stop trying to regulate us like banks
06/03/2015
Two More Private Banks Reach Resolutions Under Justice Department's Swiss Bank Program
“The days of safely hiding behind shell corporations and numbered bank accounts are over,” said Acting Assistant Attorney General Caroline D. Ciraolo of the Department of Justice’s Tax Division.
06/02/2015
Valcke, FIFA President Sepp Blatter's No. 2 man, was not arrested and isn't accused of any wrongdoing
06/02/2015
The proposed amendments would add specific questions with respect to an adviser’s SMAs
06/02/2015
International law firm adds up to 15 lawyers from K&L Gates
The two new teams, which may comprise up to 15 lawyers, arrive from the Dallas office of another AmLaw 50 law firm.
06/02/2015
Before joining the SEC, Mr. Rice was a Managing Director and held a senior in-house counsel position at a global financial institution.
06/02/2015
Greed, says three-time Oscar-winning filmmaker Oliver Stone, is not good.
06/01/2015
FSB wants funds of certain size to face more scrutiny
06/01/2015
For more than two decades, each and every Congress has considered and adopted wide-ranging financial services legislation that has significantly altered the legal and regulatory landscape governing financial institutions in the United States
06/01/2015
International law firm continues dramatic US expansion
The majority of the new team joins the firm from the Private Client Services Group at McKenna Long & Aldridge and comprises well-respected and highly experienced trusts and estate planning, charitable giving and trusts and estate litigation lawyers.
05/29/2015
Ketchum highlighted several areas of concern regarding the DOL’s re-proposed fiduciary rule.
05/29/2015
Arbitration in the securities industry – between broker-dealers and their customers – wasn’t always mandatory
05/28/2015
Fried, Frank, Harris, Shriver & Jacobson LLP announced today that Mark Mifsud, Kate Downey and Alexandra Conroy will join the Firm as partners in the Asset Management Practice, resident in the London office