Managers of Wealth Americas

Vatican financial watchdog signs accord with U.S. Treasury Department

This is the latest example of the authority’s efforts to build international cooperation and prevent a repeat of the corruption scandals

Goldman in court over 'boys' club'

A lawyer representing the plaintiffs expects the judge to rule on the motion by the end of the year.

FINRA Bars Broker for Insider Trading in Japanese Securities

FINRA found that Allen's conduct violated FINRA Rules to observe high standards of commercial honor and just and equitable principles of trade.

CWCapital Sued by Stuyvesant Town Lenders Over Takeover

Centerbridge controls the six limited liability companies named as plaintiffs in the complaint filed in New York State Supreme Court in Manhattan, said two people with knowledge of the matter, who asked not to be identified because the information is priv

Withers appoints seven new international partners

Withers has announced the appointment of seven new partners across the firm's international offices and practice areas. The appointees' new roles took effect from 1 July 2014.

Exclusive - U.S. SEC official dissented on BNP Paribas waiver

An official at the U.S. Securities and Exchange Commission broke ranks with other commissioners and voted against granting BNP Paribas a waiver to continue operating several investment advisory units in the United States.

BNP Paribas fined a record $8.9bn

BNP Paribas was hit with a record $8.97bn (£5.2bn, €6.5bn) fine last night for violating US sanctions between 2004 and 2012.

Goldman Sachs fined over dark pool pricing

The Order Protection Rule generally requires that trading centers trade at the best-quoted prices or route orders to the trading centers quoting the best prices.

Two more arrests in IBM-SPSS insider trading scandal

Martin, a research analyst at Royal Bank of Scotland in New York, shared the information with his housemate Thomas Conradt

Implications Of AIFMD For U.S.-Based Hedge Fund Managers

The European Directive on Alternative Investment Fund Managers came into force in July 2011 and was required by law to be implemented in all 28 EU member states (plus Norway, Iceland and Liechtenstein) by July 2013.

Madoff Trustee Rejected by U.S. High Court on Bank Suit

Picard argued in his appeal that the banks “are as responsible as Madoff for the enormous magnitude of customer losses.”

NY Lawsuit Deals A Blow To Barclays' Dark Pool Trading Operations

The lawsuit listed several problems with the dark pool POOL -1.57% – called Barclays LX (Liquidity Cross) alternative trading system – such as falsifying data about the concentration of high-frequency traders in the private market,

Barclays CEO Falters in Culture Shift as Suit Cites Fraud

The bank is cooperating with Schneiderman’s office and is examining the matter internally

What Barclays is accused of

Barclays has been sued by the NY attorney general over claims it duped people into investing in its dark pools. Here is what the British bank is accused of

Barclays sued over dark pools by New York attorney general

Barclays has been sued by the NY attorney general over claims it duped people into investing in its dark pools. Here is what the British bank is accused of

US Justice Department fines former Credit Suisse banker for hiding $100m losses

Former Credit Suisse banker pleaded guilty to charges of falsifying the lender's records

Baker & McKenzie Elects 65 New Partners Worldwide

Regionally, 29% of the promotions are in Asia Pacific; 32% are in Europe, Middle East and Africa; 14% in Latin America; and 25% in North America. 28% of those promoted to partner are women.

SEC Adopts Cross-Border Security-Based Swap Rules

The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted in 2010

FINRA Hearing Panel Expels Success Trade Securities and Bars CEO

Ordered to Pay $13.7 Million in Restitution; Majority of Defrauded Investors Were NFL and NBA Players

RBC’s Buyout Conflicts Justify Hefty Damages, Lawyer Says

Royal Bank’s failure to disclose its conflicting interests in the $17.25-a-share sale was “pretty egregious”

Legal, Regulation & Compliance