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6 Feb 2019, 10:41 am by Daniel Shaviro
Here’s a short list:a) The capital gains tax isn’t one-and-done if you sell a capital asset and invest the proceeds in a new capital asset. [read post]
30 Jan 2019, 4:09 am by Simon Lovegrove (UK)
Specifically, BTS are added relating to the: Benchmarks Regulations; European Long-Term Investment Funds Regulation; Market Abuse Regulation; Bank Recovery and Resolution Directive; and Capital Requirements Regulation. [read post]
29 Jan 2019, 6:00 am by Troy Ungerman (Toronto)
Expectations for 5G are well in excess of that benchmark – an estimated $40 billion in Canada alone – and will significantly impact all aspects of the economy, including M&A, in the years to come. [read post]
25 Jan 2019, 12:00 am by David Lopez
According to a Capital One survey, 44% of respondendts said mergers and acquisitions are the preferred approach for growth. [read post]
16 Jan 2019, 9:00 am by Corbin Bridge
The LPs provide the capital which can be used to fund new technology, make acquisitions and expand working capital. [read post]
11 Jan 2019, 4:24 am by Hannah Meakin (UK)
These benchmarking benchmarking exercises, conducted by the EBA on an annual basis are a fundamental supervisory and convergence tool to address unwarranted inconsistencies and restoring trust in internal models. [read post]
7 Jan 2019, 3:21 am by Broc Romanek
That shareholder proposal urges companies to adopt policies that take into account the compensation of their workforce when setting CEO pay – and the companies’ agreements range from adding “human capital” disclosure, to enhancing workforce benefits, to committing to consider the CEO pay ratio when determining executive pay. [read post]
3 Jan 2019, 5:48 am by Silver Law Group
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS    Albin, William   Waddell & Reed   Metlife Securities Inc   Allen, David   Avenir Financial Group   Gunnallen Financial, Inc   Boupon, Kean   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith Inc… [read post]
18 Dec 2018, 11:12 am by Silver Law Group
  First Southwest   Michael Giokas   Fortune Financial Services, Inc   Comprehensive Asset Management and Servicing   Travis Marks   Wells Fargo Advisors, LLC   JP Morgan Securities LLC   Richard Minichino   Next Financial Group, Inc   Wunderlich Securities, Inc   Thomas Park   Merrill Lynch, Pierce, Fenner & Smith Inc   Wells Fargo Clearing Services, LLC   Brian Roth   The Benchmark Company, LLC   Intl… [read post]
16 Dec 2018, 1:49 pm by Staff Attorney
According to studies, non-traded REITs have historically have underperformed even safe benchmarks, like U.S. treasury bonds – meaning that non-traded REITs provide paltry investment returns considering the risk an investor takes. [read post]
4 Dec 2018, 1:54 pm by Staff Attorney
  However, this is highly unlikely given that the company has financed most of its distributions through returning investor capital and currently has a distribution rate of only 2.23% annualized. [read post]
4 Dec 2018, 7:07 am by Jochen Vester (UK) and Luke Rodgers
On 3 December 2018, the Council of the EU published a note (the Note) from its Permanent Representatives Committee (COREPER) regarding the ‘Banking Package’ comprising of legislative amendments to the Capital Requirements Regulation, Capital Requirements Directive IV, the Bank Recovery and Resolution Directive and the Single Resolution Mechanism Regulation. [read post]
3 Dec 2018, 11:27 am by ccollins
JPMorgan Settles Aussie Benchmark Rigging Case with Investors This isn’t the only benchmark rigging case that JPMorgan has recently settled. [read post]
29 Nov 2018, 1:28 pm by Brett Frischmann
Authored by Brett Frischmann and Deven Desai Google, Amazon, and many other digital tech companies celebrate their ability to deliver personalized services. [read post]
29 Nov 2018, 8:28 am by Simon Lovegrove (UK)
Such EU files relate to the following draft EU legislation and initiatives: Capital Requirements Regulation II and Capital Requirements Directive V; Bank Recovery and Resolution Directive II; Central Counterparty Recovery and Resolution Regulation; European Market Infrastructure Regulation (Regulatory Fitness and Performance) (EMIR Refit); European Market Infrastructure Regulation 2.2; Investment Firms Review (prudential framework); Cross-Border Distribution of Funds Regulation… [read post]
8 Nov 2018, 7:59 am by Staff Attorney
Money Concepts Capital Corp (Money Concepts) advisor Ray Reese (Reese) has been subject to at least three customer complaints. [read post]
These ongoing efforts have united employees in efforts to do good things across the country and have contributed to some of the highest employee engagement survey scores in Ally’s history, with Ally earning 77 out of 100 points—5 points higher than the Financial Services Industry benchmark. [read post]
These ongoing efforts have united employees in efforts to do good things across the country and have contributed to some of the highest employee engagement survey scores in Ally’s history, with Ally earning 77 out of 100 points—5 points higher than the Financial Services Industry benchmark. [read post]