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.
11/06/2020
Apple must face shareholder lawsuit over CEO Cook's China sales comments
The lowered revenue forecast was the first by Cupertino, California-based Apple since the iPhone’s launch in 2007.
11/06/2020
The Impact of SARs Disclosures on Financial Institutions
The surprising releases of information from Suspicious Activity Reports (SARs) that were filed with the Financial Crimes Enforcement Network have sent shockwaves through the financial industry
11/06/2020
In unveiling their legislation—dubbed the Securing a Strong Retirement Act of 2020—Neal and Brady stressed that strengthening Americans’ retirement security is a goal shared by both parties and that enactment of the long-stalled SECURE A
11/06/2020
Disruptions may come from any type of internal or external operational risk and include technology-based failures, cyber incidents, pandemic outbreaks, and natural disasters.
11/06/2020
It’s not the first time Guo has brought such a lawsuit, after failing to get the claim heard in New York.
11/05/2020
OFAC advisory notice highlighting potential sanctions risks stemming from dealing in high-value artwork
The Government usually takes this step—issuing a warning—as a precursor to embarking on some sort of action so that a target cannot later complain that it was not put on notice of the risks associated with violating a sanction.
11/05/2020
The lawsuit also alleged the company did not ensure there was a path to fair pay.