01/02/2020
The proposed amendments would also revise the definition of a “qualified institutional buyer” (QIB) in Rule 144A and expand the list of entities able to qualify as QIBs.
12/31/2019
A Financial Crime/AML and Compliance Risk Management Leader and Advisor in Banking and Financial Services for more than four decades
12/30/2019
FINRA says that between 2014 and 2018, the five firms failed to properly monitor custodial accounts for minors to ensure that assets were transferred to beneficiaries once they came of age.
12/30/2019
Lime Asset invested in U.S. fund halted by SEC: Korea’s FSS
12/27/2019
Many Big Law firms embroiled in lawsuits this year
12/26/2019
With that legislation, Congress identified capital gains tax relief as a carrot to lead investors to buy stakes in economically-neglected U.S. neighborhoods.
12/25/2019
Only as a last resort would the government step in and provide a publicly funded bail-out, according to the bill.
12/24/2019
The amendments take effect on January 1, 2020.
12/24/2019
The SEC’s proposals represent a valiant attempt to strike a balance among these competing views, by recommending sensible but limited modifications that may be helpful in a variety of exempt offerings.
12/23/2019
Should the obligated entities fail to comply with the filing by January 31, 2020, they will be subject to penalties and fines that may cause a negative impact on any and all interests born in Costa Rica.
12/23/2019
The SECURE Act defines eligible designated beneficiary as a spouse or minor child who is disabled or chronically ill
12/23/2019
In settling this matter, Credit Suisse neither admitted nor denied the charges, but consented to the entry of FINRA’s and the Exchanges’ findings.
12/22/2019
"The allegations made in the complaint are not an accurate characterization of the work I performed for this client under the supervision of the team," Heidi Liss said in a statement.
12/22/2019
The federal estate, gift and GST tax rate will remain at 40%.
12/20/2019
Reported deal between bank and US Department of Justice would end investigation
12/20/2019
An internet domain company is seeking at least $25 million, alleging the firm's lawyers took advantage of an impaired CEO.
12/20/2019
Corresponding changes are also proposed to the qualified institutional buyer definition for institutions that qualify for accredited investor status when they meet the existing $100 million in securities owned and invested threshold under Rule 144A.
12/19/2019
Lapses resulted in the insurer’s failure to pay thousands of workers their monthly pension benefits
12/19/2019
Withers is aware that some of our clients may have invested in BitClub Network, and may be affected by the alleged Ponzi scheme.
12/19/2019
Both sets of rules are important to know, because existing inherited IRAs are grandfathered into the previous rules.