01/27/2020
“You would get far more significant penalties from someone who has been in the business and is disappointed in what Wells Fargo has done,” said Thomas Vartanian, a law professor at George Mason University and former OCC official.
01/24/2020
A strong partner with a solution that addresses the needs of the investor, fund manager and investment advisors and distributors is critical.
01/24/2020
Over seven and a half thousand people from over 150 firms took part in the Firm of the Year 2020, rating how satisfied they were across six metrics: pay, career development, work/life balance, management, culture, and the office.
01/24/2020
The OCC also announced charges against five other former senior executives of Wells Fargo and announced settlements with two others in a sweeping case covering alleged misconduct from the early 2000s through October 2016.
01/24/2020
Given the risks associated with the termination of LIBOR, the Department requires that each regulated institution submits its transition plan to the Department by February 7, 2020.
01/24/2020
If foreclosure proceedings have already commenced, file the necessary motions and paperwork to move the case to judgment foreclosure within three months
01/24/2020
The guidance also provides several targeted risk management tips specific to online/mobile banking and fair lending risks
01/24/2020
The new rules clarify and revise proposed regulations issued by Treasury last September
01/23/2020
The FWA partnership will bring even more opportunities for our female associates to collaborate, network, and expand their skillsets while also giving back to the community through mentoring.”
01/23/2020
"The defendant is a highly educated man who knew that the law required him to report all the income"
01/23/2020
Commercial Litigation Alert by Author(s): Louis E. Dolan, Jr. , Jamie Lee
01/22/2020
The ASC gratefully acknowledges the assistance of the British Virgin Islands Financial Services Commission in this matter.
01/22/2020
The collaboration will allow NIB&T to leverage Kroll's expertise and augment NIB&T's footprint servicing a fast-growing private banking and corporate banking global clientele.
01/21/2020
China is home to the world’s four largest banks by assets, the biggest global fintech company and other formidable competitors.
01/21/2020
The new Global Multi-Manager funds are available exclusively through VitalityInvest’s ISA, Junior ISA and Retirement Plan
01/21/2020
SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
01/20/2020
This is double the amount, and nearly double the value, of penalties handed out in 2018, when 29 fines of $4.27bn (£3.2bn) were imposed.
01/17/2020
The SEC's complaint, filed in federal court in Minnesota, charges Lundervold with violating the broker-dealer registration provisions
01/17/2020
The legislation—which is effective as from that date—contains many of the provisions originally contained in the 2018 tax reform law
01/16/2020
Interpretation of this statutory provision is the subject of extensive court analysis in Delaware.