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Friday, November 20, 2009
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Compliance & Regulation
Despite having seemingly killed its proposed rule on providing investment advice to participants in...
State and federal prosecutors have charged seven people in an alleged securities scam that cheated dozens of people out of $17 million.
Conseco Inc. said Friday that a subsidiary has reached a reinsurance agreement with Wilton Reassurance Co. covering about 237,000 life insurance policies.
European Union regulators on Thursday said they have charged U.S. credit ratings agency Standard & Poor's with monopoly abuse, alleging that the company unfairly demands payment for securities...
A Minnesota businessman accused of orchestrating a massive Ponzi scheme testified Tuesday that he did not knowingly participate in the fraud and may have "trusted some people far too much....
The Securities and Exchange Commission today charged two companies – including a Colorado-based financial planning firm – with conning senior citizens out of their retirement money with...
In the wake of the alleged insider-trading ring involving hedge fund manager Galleon Group, compliance departments at asset management firms and broker-dealers are stepping up their vigilance.
The Securities and Exchange Commission would be required to issue rules prohibiting or limiting mandatory-arbitration clauses in securities contracts under draft legislation introduced last week by Senate Banking Committee Chairman Christopher Dodd, D-Conn.
Measures that would significantly boost funding for the Securities and Exchange Commission as well as give shareholders a say on executive pay are included in draft financial overhaul legislation in the Senate, a person familiar with the matter said Monday.
While most investment management companies are reluctant to start firmwide hiring, many are looking to bulk up their compliance departments, according to executive search firm Russell Reynolds Associates Inc.
Federal agents are seizing assets from a Florida lawyer suspected of orchestrating a multimillion-dollar fraud scheme.
Investment advisory groups, state regulators and consumer advocates last week cheered a pledge by the House Financial Services Committee's chairman to defeat a measure that could expand Finra's reach over advisers.
Investment Insights
Shared-trust fund offers easy way to roll up smaller accounts
Most financial advisers can relate to the challenges of handling smaller accounts that are inherited from the relatives of existing clients, or are in the form of small “orphaned” retirement accounts.
Swiss bank UBS AG has been fined 8 million pounds ($13.3 million) for management failures which allowed employees to make unauthorized trades with customers' accounts, Britain's financial regulator said Thursday.
The Securities and Exchange Commission would be instructed to study whether pre-sale disclosures should be required for all products sold to retail investors under a provision of financial services regulatory-reform legislation likely to be approved this week by the House Financial Services Committee.
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