11/19/2020
Pulling “Shadow Banking” Out of the Shadows: FSB Report on March 2020 Turmoil Signals Increased Regulatory Scrutiny of Non-Bank Financial Intermediation
The Report also recommends that, based on the FSB’s analysis, the international efforts to boost the resiliency of NBFI focus on three main areas
11/19/2020
So as your teams are getting reoriented after the election here in the US, we’d love to talk to you about your international plans for 2021.
11/18/2020
The orders against each firm found that the firm failed to implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940 and the rules thereunder.
11/16/2020
More than $3 Million to be Returned to Harmed Retail Investors as Part of Ongoing Risk-Based Initiative
11/16/2020
The SEC has awarded more than $720 million to 113 individuals since issuing its first award in 2012.
11/16/2020
Schumacher blames the Federal Reserve’s recent interest rate decision, in addition to its deafness, on the weakening trend of the dollar.
11/16/2020
Burford is the leader in its field and we congratulate them on this success.
11/15/2020
The SEC’s filings include settled charges against Stumpf, who agreed to pay a $2.5 million penalty, and a litigated action alleging Tolstedt committed fraud.
11/13/2020
US Labor Department rule on impact investments was opposed by asset managers
11/13/2020
Lawyers for JPMorgan and the Nigerian government said at the end of a London court hearing Thursday that the bank would clarify who was involved in the decisions on the payments. The trial is expected in early 2022.
11/13/2020
Their research is based on feedback from 300,000 clients worldwide, submissions from law firms and interviews with leading private practice lawyers, and a team of researchers with unrivalled experience in the legal market.
11/12/2020
The targeted exam was prompted by a June 4 settlement with Merrill Lynch.
11/11/2020
Goldman Sachs has to deal with unprecedented punishment for bribery.
11/10/2020
Terrence Chalk, aka Dr. Cash, allegedly hid his criminal past to defraud investors out of more than $4 million.
11/10/2020
Canada Life has announced it is making its recently launched ‘WeCare' a permanent support service available to all new and existing customers on CLASS, Canada Life's online group insurance platform.
11/10/2020
Julius Baer has reached an agreement in principle with the U.S. Department of Justice to settle an investigation in the FIFA matter.
11/10/2020
This was the largest fine related to money laundering in Paraguayan history.
11/10/2020
There were and are bigger forces at work, driving the underperformance of those assets, than the vagaries of politicians indulging in rhetorical flourishes.
11/09/2020
Julius Baer has reached an agreement in principle with the U.S. Department of Justice to settle an investigation in the FIFA matter.
11/08/2020
Ash Narayan, 55, of Irvine received the 37-month sentence and was ordered to pay $18.8 million in restitution, the U.S. attorney's office said in a statement.