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Searching Content indexed under Finance and Banking by Margaret Hirce ordered by Published Date Descending.
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The Regulatory Pendulum: When Is De-Risking By Financial Institutions Too Much?
In the environment of increasingly aggressive regulatory and criminal enforcement of anti-money laundering (AML) violations, concerns about de-risking have risen to the fore...
United States
22 Jun 2016
2
AML And Investment Advisers: Understanding FinCEN's New Anti-Money Laundering Rules
In announcing the proposed rule, FinCEN Director Jennifer Shasky Calvery noted that "[i]nvestment advisers are on the front lines of a multi-trillion dollar sector of our financial system."
United States
8 Sep 2015
3
2015 Mid-Year Securities Litigation And Enforcement Highlights
Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
7 Aug 2015
4
A Further Harbinger On The Application Of SLUSA
On March 30, 2015, the U.S. District Court for the Southern District of New York dismissed claims in a putative class action against New York-based hedge fund manager Philip A. Falcone, his advisory firm Harbinger Capital Partners, and its affiliates.
United States
24 Apr 2015
5
The Boundaries For Insider Trading Prosecutions See A Resurgence: The 1980s Are Back!
In a closely followed appeal, the United States Court of Appeals for the Second Circuit on December 10, 2014, delivered an important decision in United States v. Newman
United States
31 Dec 2014
6
2014 Mid-Year Report Securities Litigation And Regulatory Enforcement
We issue this Securities Litigation and Regulatory Enforcement Report at mid-year and shortly after year-end.
United States
5 Aug 2014
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