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3 Dec 2007, 9:26 am
On November 28, 2007, FINRA announced it had fined Wachovia Capital Markets, LLC, $300,000 for violating research analyst conflict of interest disclosure rules. [read post]
22 Nov 2010, 9:01 am
., Broadband Research LLC, First New York Securities LLC, Ziff Brothers, Jana Partners LLC, TPG-Axon Capital Management, Prudential Financial Inc.'s Jennison Associates asset-management unit, UBS AG's UBS Financial Services Inc. unit, and Deutsche Bank AG.Insider-trading charges are expected against consultants, investment bankers, hedge-fund and mutual-fund traders and analysts across the nation, the Journal says.This looks like another instance where many of the very… [read post]
11 May 2021, 8:40 pm
It does not specify equivalent indicators for financial undertakings, mainly large banks, asset managers, investment firms and insurance/reinsurance undertakings. [read post]
29 Jun 2014, 7:31 pm
Some banks have rebuilt capital and adjusted their business models, while others have more work to do (Chapter VI). [read post]
25 Nov 2009, 5:28 pm
’s investment banking department. [read post]
12 Dec 2008, 8:32 pm
And what could social democrats possibly learn from a political campaign in the United States - the bedrock of unfettered capitalism and the epicenter of the global financial crisis? [read post]
20 Jul 2018, 6:15 am
” The Supreme Court’s decision to review this case implicates the scope and applicability of its decision in Janus Capital Group, Inc. v. [read post]
7 Nov 2007, 12:28 am
Interwoven was recognized for its innovative contribution to capital markets technology by Operations Management, a leading monthly publication which provides news and analysis on the back-office issues faced by broker/dealers, investment adviser firms, and custodian banks in the US and around the world. [read post]
21 Dec 2009, 8:07 pm
” With more money in the bank, this may become BioMS’ new gig. [read post]
21 May 2016, 8:19 am
A New York Probate Lawyer said the value of the testatrix’s gross estate is approximately $600,000 comprised primarily of stocks, valued at approximately $350,000.00, a house and property, valued between $175,000 to $225,000, jewelry and miscellaneous items, valued at approximately $9,500.00 and two bank accounts, in the amount of approximately $15,000. [read post]
22 Oct 2018, 2:29 pm
General Electric Capital Corporation had its SIFI designation lifted in 2016 after reorganizing and selling many of its financial services operations. [read post]
16 May 2010, 1:14 pm
The other spouse never had legal title or a legal interest in the business, but made contributions to the business, including reducing a substantial amount of debt, acting as a guarantor and corporate officer, conducting all bookkeeping and corporate banking, managing the office, introducing new products, making capital improvements, and working as an employee. [read post]
5 Nov 2011, 2:39 pm
If if hits your hands or your bank account, it's income. [read post]
1 Sep 2020, 4:01 am
According to the AFM, broadening the mix of available finance and reducing dependency on tailored bank loans fits within the philosophy of the Capital Markets Union. [read post]
9 Jun 2019, 8:19 am
Say-on-pay first entered corporate America when, in early 2009, Treasury Secretary Timothy Geithner stated that recipient banks of TARP relief must hold SOP votes. [read post]
18 Dec 2011, 11:00 am
., banking, telecommunications), political activity is nearly universal, and uncorrelated with measures of shareholder power, managerial agency costs, or value. [read post]
23 Oct 2011, 9:33 am
They also agreed on initial recommendations and a work plan to strengthen regulation and oversight of shadow banking. [read post]
19 Mar 2018, 6:13 am
These figures have led Larry Fink, CEO of Blackrock, to warn corporate leaders against seeking to “deliver immediate returns to shareholders, such as buy-backs… while underinvesting in innovation, skilled workforces or essential capital expenditures necessary to sustain long-term growth. [read post]
30 Sep 2021, 9:18 am
As new industry sectors like cannabis move into licensing multiple locations, the reward of franchising–leveraging local knowledge and capital–is obvious. [read post]
23 May 2010, 6:35 pm
Indeed, a strategist of Deutsche Bank (which, incidentally, is one of the companies whose shares are subject to the ban) was quoted as saying that "What we've learnt repeatedly in this crisis [is] that every action has an equal and opposite reaction ... [read post]
