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7 Jun 2019, 11:26 am by ccollins
The regulator announced its emergency action against Syed Arham Arbab, Artis Proficio Capital Management, LLC, and Artis Proficio Capital Investments, LLC this week. [read post]
23 Oct 2019, 10:13 am by Anna Carrier (BE) and Daniel Nevzat (UK)
On 18 October 2019, the Council of the EU (Council) published two notes from the General Secretariat of the Council to the Permanent Representatives Committee (COREPER): an information note on the proposed Regulation on the prudential requirements of investment firms and amending the Capital Requirements Regulation, the Markets in Financial Instruments Regulation and the European Banking Authority Regulation (altogether, the Investment Firms Regulation); and an information note on… [read post]
4 Jul 2007, 6:56 am
Simpson Capital is the investment adviser to two hedge funds, Simpson Partners L.P. and Simpson Offshore Ltd. [read post]
4 Nov 2019, 2:47 pm by Bob Ambrogi
“Australians are embracing a new wave of legal technology, which, similar to online banking or accounting, has made this core service accessible online,” said Dominic Woolrych, Lawpath CEO. [read post]
22 Nov 2016, 1:01 am
Reese Chair of Banking and Monetary Economics at The Ohio State University and NBER. [read post]
16 Jun 2015, 4:35 am by David DePaolo
They were created and first used in the mid-1990s in the aftermath of Hurricane Andrew and the Northridge earthquake.Wikipedia has a good explanation:"An insurance company issues bonds through an investment bank, which are then sold to investors. [read post]
26 Jun 2012, 8:07 am by Lovechilde
What Bain did wasn’t just capitalism, but the worst sort of capitalism. [read post]
25 Jun 2008, 3:50 pm
The opinion by Chief Justice Roberts in Plains Commerce Bank v. [read post]
25 Oct 2016, 1:45 pm by Charles Sheldon
  On October 25, 2016, the International Capital Market Association (“ICMA”) published the European Corporate Debt Private Placement Guide (the “Guide”). [read post]
27 May 2022, 8:20 am by Jochen Vester (UK)
On 24 May 2022, the European Commission adopted an Implementing Regulation amending the implementing technical standards (ITS) laid down in Implementing Regulation (EU) 2016/2070 as regards benchmark portfolios, reporting templates and reporting instructions to be applied in the EU for the reporting referred to in Article 78 of Capital Requirements Directive IV (CRD IV). [read post]
They contend that their Cetera Investment Services broker John Yin (Haiguang Yin), whom they met through East West Bank, used their mutual cultural affinity to gain their trust. [read post]
31 Oct 2016, 1:45 pm by Charles Sheldon
  On October 25, 2016, the International Capital Market Association (“ICMA”) published the European Corporate Debt Private Placement Guide (the “Guide”). [read post]
31 May 2011, 12:23 pm by johntfloyd
Through this relationship Gutierrez got to know a lot about how Harrison conducted her business affairs; specifically, that she did not trust banks and kept all of her money in her trailer/office. [read post]
29 May 2009, 2:22 am
The key to revitalizing the Zimbabwean economy is reforming the central bank, in particular its corporate governance structure, and launching a new currency. [read post]
13 Jul 2012, 7:35 am by Peter Bert
Here’s in a nutshell what’s new in the law: First, KapMuG now applies also to cases where capital market-related information has been used in the sale and distribution of financial products, and hence can apply to certain classes of misselling claims against banks and investment advisers. [read post]
24 Jul 2009, 4:00 am
He pointed out that venture capital funds do not provide systemic risk. [read post]
22 Sep 2010, 10:59 am by Jeffrey Andersen
Hagen   In a recent speech to community bankers in Iowa a couple of weeks ago, I reviewed the current state of the banking economy and the implications of the Dodd-Frank legislation on community bank operations. [read post]