News results for Compliance, Legal and Regulation

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

Compliance
May 25, 2022

Compliance Corner: SEC Fines BNY Mellon Investment Adviser Over ESG Failings

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

Compliance
May 23, 2022

G7 Nations Push For Crypto-Asset Regulatory Scrutiny After Market Drama

Perhaps inevitably, the wild swings in parts of the digital assets markets of recent weeks have

Compliance
May 16, 2022

US Says "Straw Owner" Concealed Russians' Yachts – Report

Since the US, the European Union and other countries imposed sanctions on Russia following the

Compliance
May 9, 2022

Compliance Corner: Canada, Russia Sanctions

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

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.

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
May 9, 2022

A Walk Around The World's Regulatory Landscape

This news service speaks to BNY Mellon Pershing, a business with considerable interplay with

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