11/12/2019
Jamie Dimon says: ‘I believe there were people ... who were greedy, selfish, did the wrong stuff, overpaid themselves and couldn’t give a damn. Yes.’
11/11/2019
The bank customers who received these letters were all "accidental Americans," people who automatically obtained US citizenship because they were born in the United States but who've lived their entire lives in Europe.
11/11/2019
“We have tools in place that we didn’t have six months or a year ago.”
11/11/2019
Bank is accused of overcharging clients in wealth management
11/08/2019
CBK moves to combat money laundering, terror financing
11/08/2019
The recession hit Biglaw hard and they aren't interested in going through that again.
11/07/2019
RJA has agreed to pay more than $3.8 million in restitution, while RJFS has agreed to pay $4.2 million.
11/07/2019
The Treasury Department said the regulations, implemented in the final months of Obama's administration, are no longer necessary because of the 2017 tax law enacted under president Donald Trump.
11/05/2019
In late October, the federal court in Puerto Rico ruled in favor of Carisalagen’s urgent request and ordered Lugo, whom the investment firm said has acted as its FA, to appear at a Finra hearing scheduled for this week.
11/04/2019
Anti-Corruption News Story Curated by Anti-Corruption Digest International Risk & Compliance News
11/04/2019
The lawsuit accused the company of "failing to monitor and evaluate performance the performance of the plan's fiduciaries or have a system in place for doing so."
10/31/2019
The firm provides comprehensive legal advice in areas such as banking and finance, civil law, commercial law, corporate law, immigration, labor and employment, mergers and acquisitions, arbitration, litigation, maritime and tax.
10/30/2019
The prosecutors have alleged that flaws within the Swiss private bank's compliance
10/30/2019
At UBS, Carona was a member of the President’s Council, an elite club for top producers at the company, where she had managed more than $300 million.
10/30/2019
Bank lobbyists are seeking to leverage all those issues.
10/29/2019
The House did something really big last week, and the Senate could actually follow suit soon.
10/29/2019
The letter cites "a string of regulatory rollbacks under the Trump administration in recent years that have undermined policies on good governance, transparency and ESG integration in the investment process."
10/29/2019
JPMorgan wants the court to prevent Weiss from soliciting more clients while it handles the matter through Finra arbitration, according to the publication.
10/29/2019
Capitala Group plans to expands investor base and expects the Mitsui partnership to attract Asian investors, Mr. Alala said.
10/29/2019
In effect, the SEC has quietly allowed companies to kill such proposals before they can even be presented for a shareholder vote," the lawsuit claims.