12/12/2019
Merrill Lynch Loses FAs to These Rivals
Till began his financial services industry career in 2010 at Merrill Lynch, according to his BrokerCheck profile, and managed approximately $100 million there, Integrated says.
Legal, Regulation & Compliance
12/12/2019
The Climate Crisis and the White Working Class
Does it really matter to these swing voters? You bet it does.
12/11/2019
HSBC’s private Swiss bank fined over US tax evasion
The bank admitted that between 2000 and 2010, it conspired to defraud the US of taxes, commit tax evasion and file false federal tax returns.
12/11/2019
U.S. Anti-Money-Laundering Chief Calls for Beneficial Ownership Registry
Lack of business-ownership information creates a ‘dangerous and widening gap’ in the national security apparatus, Treasury official says
12/10/2019
Jefferies Settles SEC Claims Over ADR Transactions
The order against Jefferies also finds that it failed reasonably to supervise its securities lending desk personnel concerning borrowing pre-released ADRs from these brokers.
12/09/2019
BNY Mellon connects custody systems to SimCorp Dimesnion
The partnership aims to accelerate the optimization of typically manual investment workflows
12/09/2019
Four big questions as CRA proposal nears official release
“Do bankers who do CRA investing expect to see their lives become a whole lot easier with the reform?” said Julie Hill, a professor at the University of Alabama School of Law.
12/09/2019
Battle royale: SEC locks horns with investors over proxy advisers
Corporate governance advisers at heart of fight that has also pitted investors against companies
12/08/2019
Ten key regulatory challenges of 2020
Financial services risk across business imperatives
12/05/2019
M&A roundup: Friedman, UHY, Blue and others strike deals
Friedman adds Markowitz, Fenelon & Bank; UHY Advisors unites with Becker & Rosen; Blue & Co. merges in Clarus Partners; Barone, Howard & Co. CPAs joins Dermody, Burke & Brown CPAs.
12/05/2019
Judge Rakoff Sentences ‘Silver Platter’ Sean Stewart To 24 Months Prison In Insider Trading Case
Today, US District Judge Jed Rakoff sentenced Sean Stewart to 24 months in prison for insider trading.
12/05/2019
Dentons Peru adds Infrastructure Practice
Commenting on this announcement, Manuel Barrios, Dentons Peru Partner, said: “We are thrilled to be adding this capability with the appointment of two seasoned and respected lawyers. We look forward to being better positioned to address our clients&
12/04/2019
Charles River expands antitrust and competition economics practice
Lopez has experience in applying economic methods to IP and antitrust matters and has advised on high-profile disputes involving fair, reasonable, and non-discriminatory cases.
12/03/2019
First Circuit Hands Down Significant Private Equity Ruling in Sun Capital Litigation
The case has had a number of twists and turns since the 2010 filing
12/03/2019
Key Figure in Mozambique Trial Acquitted
Ex-Credit Suisse Bankers Head for Court
12/02/2019
US seeks to extradite UK tech billionaire Michael Lynch
Autonomy businessman would face charges including securities fraud, wire fraud and conspiracy
12/02/2019
New Mexico SIC signs up to co-invest alongside Brookfield infrastructure fund
The initial investments are on target to meet the fund’s net-internal-rate-of-return target of at least 10%.
12/02/2019
Banks see Fed payments proposal opening door to fintech rivals
Banks have invested heavily in payment systems, and they alone can access the Fed’s transfer systems.
11/29/2019
Scotiabank To Sell Its Operations In British Virgin Islands To Republic Bank
The transaction supports the Bank's strategic decision to focus on operations across its footprint where it can achieve greater scale and deliver the best value for customers, Scotiabank said in a statement.
11/28/2019
US FATCA crackdown pushing demand for tax advice
The FATCA international tax code was designed to stop Americans stashing money abroad to evade tax.