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25 Jun 2018, 4:40 am
On 21 June 2018, HM Treasury and the Bank of England (BoE) published the speeches given by the Chancellor of the Exchequer and the Governor of the BoE at the Mansion House. [read post]
26 Mar 2008, 10:42 am
As the Fed continues to cut interest rates, yields on money market mutual funds and bank deposits will fall. [read post]
28 Jun 2011, 5:00 am
First Derivative, a case that involved allegedly false disclosure in a prospectus issued by a mutual fund. [read post]
31 Aug 2009, 12:30 pm
Open-ended mutual funds generally are not subject to this requirement. [read post]
28 Jul 2010, 7:34 pm
What really ticked me off, however, was that the BOA representative did not even apologize for ruining a mediation conference scheduled mutually in advanced pursuant to a court order. [read post]
22 Jul 2016, 6:10 am
The Impact of Merger Legislation on Bank Mergers Posted by Jan-Peter Siedlarek, Federal Reserve Bank of Cleveland, on Friday, July 15, 2016 Tags: Antitrust, Banks, Europe, Financial institutions, Financial regulation, International governance, Market efficiency, Market reaction, Mergers & acquisitions, Systemic risk The Investor-Savvy Board Posted by Anthony Goodman, Russell Reynolds Associates, on Friday, July 15, 2016 Tags: Board communication, Board leadership,… [read post]
8 Oct 2019, 8:53 am
The SEC has just concluded settlement negotiations with two large RIA subsidiaries of the Bank of Montreal, resulting in a total settlement of almost $38 million—with $25 million of that in disgorgement. [read post]
12 Aug 2010, 11:17 am
Last fall, she reportedly recommended a separate law to regulate for such securities, as was done for mutual funds. [read post]
22 Nov 2019, 2:54 pm
Moreover, if a bank frequently hires an IT specialist to conduct software updates and repairs specifically relating to its buildings’ security systems but could provide the same services to other types of businesses, that individual would be considered an independent contractor. [read post]
2 Mar 2015, 1:18 pm
According to the Manhattan District Attorney’s Office, defendant “opened over 30 bank and brokerage accounts in their identities with several financial institutions, including E*Trade, Fidelity, Citi, Wachovia, and Washington Mutual. [read post]
31 Jan 2020, 6:03 am
However, an unstated reason to avoid focus on statistical metrics could be that looking behind the numbers reveals that the increase is attributable to a one-time Mutual Fund Share Class Disclosure Initiative, a group of cases in which investment advisers were encouraged to self-report issues associated with the selection of fee-paying mutual fund share classes when a lower or no-cost share class of the same fund was available. [read post]
18 Jan 2011, 6:55 pm
Moody’s Investors Service has given Liberty Mutual’s holdings in Illinois an A1 rating. [read post]
27 Jun 2019, 6:26 am
This post is based on his recent article, published in the Research Handbook on the Regulation of Mutual Funds (2018, William A. [read post]
2 Sep 2014, 4:41 am
Virginia's business conspiracy statute provides for civil liability and treble damages where "[a]ny two or more persons...combine, associate, agree, mutually undertake or concert together for the purpose of...willfully and maliciously injuring another in his reputation, trade, business or profession.... [read post]
4 Jun 2015, 10:51 pm
Day 4 of the 90 Days of Awesome is in the bank! [read post]
17 Feb 2014, 7:07 pm
After a settlement or verdict, Attorney McKeen and the client will meet and mutually decide on a charity. [read post]
12 May 2010, 11:51 am
She is contending that foreign investors shouldn’t be able to file a US securities lawsuit against National Australia Bank Ltd, which is a foreign company. [read post]
22 Jul 2010, 11:55 am
The AMF has noted that its guidelines are based on core principles and guidance issued by international organizations, including the Basel Committee on Banking Supervision and the International Association of Insurance Supervisors. [read post]
30 Jun 2010, 6:04 pm
First Derivative Traders, is going to be a follow-up to the Supreme Court’s decision limiting securities fraud complaints against a company’s business partners and banks. [read post]
20 Mar 2014, 6:53 am
The plaintiff had brought a purported class action against a bank seeking statutory damages for the bank’s alleged violation of the requirement that notice of an ATM fee must be posted on the machine. [read post]
