News results for Compliance, Legal and Regulation

Legal
August 9, 2022

New York Court Overturns Verdict Against UBS In Employee Case

The bank reportedly said it is pleased with the court's decision. A new trial is being planned.

Compliance
August 8, 2022

Compliance Corner: BMO Financial, Japan, FINRA

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
August 1, 2022

Compliance Corner: TradeStation, JP Morgan Securities; UBS Financial Services

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
July 12, 2022

Compliance Corner: Binance, Iran – Media

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Legal
July 11, 2022

NGO Files Criminal Complaint Against UBS Over Money Laundering Claims

The case relates to allegations that UBS was possibly involved in laundering Congolese public funds

Legal
June 27, 2022

US-Based Mining Firm, Credit Suisse Agree $320 Million Settlement

The organizations reached an agreement that maps out a plan to repay cash to noteholders, including

Legal
June 27, 2022

Credit Suisse, Bluestone Resources Agree $320 Million Settlement

The organisations reached an agreement that maps out a plan to repay of cash to noteholders,

Compliance
June 21, 2022

Compliance Corner: SEC Charges Firm, Reps With Violating Reg BI Rule

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
June 14, 2022

Compliance Corner: SEC, Private Fund Rules

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
May 27, 2022

Compliance Corner: SEC Cracks Down On "Greenwashing"

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Comment & Analysis results for Compliance, Legal and Regulation

Legal
May 4, 2022

Prosecutors Raid Morgan Stanley Offices In Germany – Media

Media reports said the scandal is Germany's biggest post-war fraud involving a share-trading scheme

Legal
May 3, 2022

Prosecutors Raid Morgan Stanley Offices In Germany – Media

Media reports said the scandal is Germany's biggest post-war fraud involving a share-trading scheme

Legal
May 3, 2022

Lawsuit Filed Against Credit Suisse Over Oligarch-Linked Case – Media

The law firm alleged disclosure shortcomings around a securitization deal, the report said.

Legal
May 3, 2022

Lawsuit Filed Against Credit Suisse Over Oligarch-Linked Case – Media

The law firm alleged disclosure shortcomings around a securitisation deal, the report said.

Legal
March 31, 2022

Investigators Probe Pictet Offices Over Petrobas Affair; Bank Says Matter Resolved

The Swiss bank pointed out that the probe is about matters taking place as far back as 2005, and

Legal
March 25, 2022

Credit Suisse Braces For $500 Million Hit From Bermuda Case

The bank has been contesting claims by people seeking compensation for losses caused by former

Legal
March 24, 2022

Credit Suisse Braces For $500 Million Hit From Bermuda Case

The bank has been contesting claims by people seeking compensation for losses caused by former

Legal
March 4, 2022

Protecting Prominent Women: High Profile Shouldn't Mean High Risk

The recent case highlights a problem that is mostly faced by women and which has accelerated online

Legal
March 3, 2022

Litigation Funding: Assistance Or Interference?

The authors argue that two specific areas in which litigation funding can be particularly

Legal
March 2, 2022

Archegos Pushes For Legal Settlement As Probes Continue – Report

Morgan Stanley, Nomura, UBS, Credit Suisse, MUFG and Mizuho were involved in the saga. The banks,