06/21/2021
SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze
The investigation is supervised by Danielle R. Voorhees and Joseph G. Sansone. The SEC’s litigation will be led by Christopher E. Martin and Mark L. Williams under the supervision of Gregory A. Kasper.
06/18/2021
SEC says California-based Robert Joseph Armijo personally made over $1 million in commissions by selling unregistered 'distressed market' real estate funds in what regulators say was a Ponzi-like scam.
06/18/2021
Rep violated suitability obligations by investing clients in funds with risky holdings
06/17/2021
Goldman Sachs was first to recall employees but rival bankers will be based at home for months
06/16/2021
Key Private Bank has also enhanced its use of the platform, adopting compliance, data services, IBOR, and performance measurement and attribution capabilities.
06/16/2021
The new trust company is a key part of Hightower's strategy to provide its current advisory businesses, and those that join Hightower in future, with a broad range of holistic services for their clients and their families.
06/15/2021
Naomita’s clients are generally high net worth individuals and families with Californian and federal tax advice needs, as well as cross-border tax and tax residency issues.
06/15/2021
To support clients around the world transition to a low-carbon economy, TD Securities created the Sustainable Finance and Corporate Transitions Group.
06/14/2021
"When a benchmark is mismatched like that, there’s a heck of an economic incentive to manipulate it," he warned.
06/11/2021
Matthes was also ordered to pay his victims restitution of $2.4 million. He had earlier pleaded guilty to three counts of wire fraud.
06/11/2021
The Basel Committee on Banking Supervision, made up of regulators from the world's leading financial centres, proposed a twin approach to capital requirements for cryptoassets held by banks in its first bespoke rule for the nascent sector.
06/10/2021
Review of the family office exemption could be addressed in several ways.
06/04/2021
Multidisciplinary deal teams are advising on the transactions that provide further momentum on the path to close Aon’s pending combination with Willis Towers Watson.
06/04/2021
The proposal comes as more and more global concern is voiced over the possible tax gap between taxes owed and the taxes that are being paid on time.
06/03/2021
The FedNow Service is a new 24x7x365 service that will support instant payments in the United States and is expected to be available in 2023.
06/03/2021
Peter Weinzierl wanted by U.S. on money laundering allegations
06/03/2021
It isn’t controversial to suggest the transition away from LIBOR will have a significant impact on operational workflows.
06/01/2021
Officials around the world worry that the crypto boom is sucking in amateur traders who could get badly burned.
06/01/2021
The majority of ex-pats (69%) object to the US’s strict citizenship-based taxation rule, which requires US citizens to pay taxes on their worldwide income no matter where they live or work.
05/31/2021
Walkers Cayman and Bermuda offices advised McDermott International group on all Cayman and Bermudan law aspects of its 2020 restructuring