12/03/2012
The incident that led to the Goldman internal inquiry took place the end of 2009 and involved profits Hadden is said to have made ahead of the launch of a new Treasury futures contract introduced by the CME Group in early 2010.
12/03/2012
This is the latest honor for the legal boutique firm, which was also recently awarded the 2012 Corporate Intl Magazine Global Award for the “Cross Border Law, Firm of the Year” in Florida.
12/03/2012
The order also permanently prohibits MBF and its successors from further violations of the CEA and CFTC regulations, as charged, and from failing to diligently supervise its employees and agents to insure the proper segregation of customer funds.
11/29/2012
"These four firms and all other foreign broker-dealers must educate themselves on the U.S. laws and regulations when they provide services to U.S. investors."
11/29/2012
For years, since the SEC began its far-reaching investigation into insider trading within the hedge fund universe, its probe has led to civil and criminal charges against former SAC traders and investment managers.
11/28/2012
A new U.S. anti-tax-evasion measure imposes unfair costs on foreign banks and clashes with Chinese law
11/28/2012
The firm becomes the last of the magic circle excluding Slaughter and May to make an entrance in the city
11/26/2012
Claimant sought compensatory damages, punitive damages, attorneys’ fees, and costs against Respondent Baird.
11/25/2012
Firm head Martyr sets out plans to grow New York base and launch in Brazil following tie-up with Fulbright
11/21/2012
Cantor also charged for failing to timely notify the CFTC of under-segregation
11/20/2012
Mathew Martoma was charged in U.S. District Court in Manhattan with using confidential information about an Alzheimer's disease drug trial
11/20/2012
The economy is not recovering as it should
11/20/2012
New York's attorney general accused Credit Suisse Group AG of an $11.2 billion fraud Tuesday
11/19/2012
Model 2 essentially builds upon the foundation of Model 1 with some significant differences
11/18/2012
The Federal Reserve provided the country's 19 biggest banks with its the guidelines for the 2013 stress test
11/18/2012
The SEC has advised that its investigation relating to Credit Suisse’s due diligence and corresponding disclosures on historic RMBS transactions will not be pursued.
11/15/2012
In 2010, the Foreign Account Tax Compliance Act (FACTA) was passed. In essence, it is a program aimed at uncovering undeclared income hidden by Americans in banks around the world.
11/15/2012
JP Morgan has been banned from trading electricity in the US after a regulator accused the bank of making "egregious" misrepresentations during an investigation into alleged market manipulation.
11/15/2012
The Office of the Comptroller of the Currency will give the cease-and-desist order
11/14/2012
The UCITS fund in question, Thema International Fund, has sued HSBC itself, seeking the roughly €1 billion it lost when Madoff was arrested.