05/11/2014
The regulator said the unit treated the phrases interchangeably, even though indications of interest lead to share purchases only if investors reconfirm them, while conditional offers to buy can result in binding share purchases unless investors revoke th
05/09/2014
A mix of senior bancassurance selectors and wealth management professionals were sampled for the survey, which polled on a range of industry-specific issues, including business practices, industry outlook and regulations.
05/09/2014
Investment managers should only use client dealing commission to pay for substantive research or costs related to executing trades
05/09/2014
Virtual currency is something that can be difficult to wrap your brain around, but if you are using it, make sure that you understand how the IRS views virtual currency.
05/09/2014
Powerball-winning Florida adviser with stake in fund accuses firm of breaching fiduciary obligations
05/08/2014
The declaration urged countries to implement a new single global standard on automatic exchange of information
05/07/2014
Morgan Stanley wealth management fined $5 million for supervisory failures
A Wall Street regulator fined a Morgan Stanley wealth management unit $5 million on Tuesday for supervisory failures related to the sale of shares to retail customers in 83 initial public offerings, including Facebook Inc and Yelp Inc.
05/07/2014
Morgan Stanley wealth management fined $5 million for supervisory failures
The regulator said the unit treated the phrases interchangeably, even though indications of interest lead to share purchases only if investors reconfirm them, while conditional offers to buy can result in binding share purchases unless investors revoke th
05/07/2014
National law firm launches Private Wealth offering
The team advises private clients including business owners, entrepreneurs and landowners, as well as institutional trust and estate service providers and charities.
05/07/2014
More than 60 countries and jurisdictions have now committed to early adoption of the standard, and additional Global Forum members are expected to join this group in the coming months.
05/07/2014
Invesco Perpetual was hit with the fine for a series of trading and compliance breaches
05/07/2014
Last year they hired five lawyers
05/07/2014
The conversation usually starts with a request to write or review an anti-bribery policy with often the additional question of what limit should be set for gifts and entertainment to be recorded in the gifts register.
05/06/2014
UBS announces further plans to modify legal structure
UBS has already announced a series of measures to improve the resolvability of the Group.
05/06/2014
U.S., Singapore reach agreement on tax evasion: U.S. Treasury
Singapore has reached a tax information-sharing agreement with the United States under a new law meant to combat offshore tax dodging by Americans
05/06/2014
Briton arrested in Las Vegas in carbon trading probe
The judicial proceedings are being held in Germany because this is where the defendants are suspected of having committed the fraud.
05/05/2014
BlackRock, Fidelity, Robeco and Pioneer have joined forces with asset management groups and fund associations around the world to persuade the OECD to alter tax proposals they believe could harm investors.
05/05/2014
U.S. wants Credit Suisse to plead guilty in tax dispute-report
Credit Suisse is one of over a dozen Swiss banks under criminal investigation in the United States
05/05/2014
Two years ago, a Dutch law firm prepared a pitch in Moscow to Russian businesses: come to the Netherlands and we can help you avoid taxes and keep your assets safe.
05/04/2014
Swiss banks have also been casting their net in the Latin American state.