Managers of Wealth Americas

'Remuneration requirements for banks – a global comparative analysis' - Norton Rose Fulbright

This guide is the third in a series that Norton Rose Fulbright has produced on structural banking reform

FINRA Sanctions N.Y. Firm, Bans Exec

In total, Brookville sold over $1 million worth of interests in Wilshire

A New Way to Use a Prenup

The agreements are increasingly being used in second marriages between people of equal wealth

Commerzbank of Germany to Pay $1.5 Billion in U.S. Case

Collectively, the investigations were a magnet for federal and state authorities

SEC Highlights Priorities and Reminds Private Funds that the AMU is Enforcing Rules on Anniversary

Marking the fifth anniversary of the formation of the SEC Enforcement Division’s Asset Management Unit (the 'AMU'), unit co-chief, Julie Riewe, highlighted the AMU's enforcement priorities for 2015 and reiterated that conflicts of int

Multinational law firm appoints new US head

The role is designed to further develop the firm’s Global U.S. law offering, enhancing its reputation as one of the strongest and most integrated cross-border U.S. law practices in the market.

Santander and Deutsche Bank fail US 'stress tests'

Santander and Deutsche Bank have failed a US "stress test" designed to assess whether lenders can withstand another financial crisis.

U.S. Banks Pass Fed Tests

The Fed said that Bank of America stumbled this year because it had shown weaknesses in its internal controls

SEC's White Breaks Her Silence on Controversial Waiver Policy

U.S. Securities and Exchange Commission Chair Mary Jo White on Thursday defended the process her agency follows when deciding whether to grant regulatory waivers to companies that break the law

Former RBS Trader Pleads Guilty in U.S. to Cheating Customers

Matthew Katke, 34, of New York, pleaded guilty to one count of conspiracy to commit securities fraud and will cooperate with prosecutors

Stress tests proposed for asset management industry

Without more stringent regulation, asset management poses a considerable threat to the financial system.

HFW continues investment with Partner promotions

Reflecting its international reach and client base, Holman Fenwick Willan has today announced Partner promotions in four of its international offices and in line with its focus on sector specialisation

Charles Schwab Must Face U.S. lawsuit over Bond Index Fund

A U.S. appeals court on Monday revived a class-action lawsuit accusing Charles Schwab Corp of stuffing risky mortgage-backed securities into a bond index mutual fund, causing the fund to significantly lag its benchmark.

Foreign Currency Manipulation Front and Center in U.S. Trade Talks

These very similar bills empower the Department of Commerce to investigate and impose countervailing duties

Banker Settles with SEC for Role in Olympus Scandal

According to the SEC, these entities purchased poorly performing investments from Olympus with bank loans secured by assets owned by Olympus.

Swiss banks drawn into Petrobras scandal

Documents released by a Brazilian court have outlined the alleged use of Swiss bank accounts for the payment of bribes in the Petrobras scandal

Google, Apple and Microsoft keep billions overseas

Additionally, the overseas profits of Microsoft, Apple and Google grew substantially in 2014

Horgan, Rosen, Beckham & Coren serves as Legal Counsel to Pan American Bank to merge with Finance and Thrift Company

This merger was negotiated on behalf of Pan American

U.S. Regulator Pushes Reforms for Microcap Market-Making Brokers

A top U.S. regulator is calling for new rules for brokers who make markets in over-the-counter microcap stocks, saying the current regulations are lax and may lead to poor-quality pricing.

Circlenet CEO gets four months in prison for hiding money in Swiss bank

By 2006, the internet entrepreneur's UBS account held nearly $1.1 million

Legal, Regulation & Compliance