Citi Overlooked a Few Thousand Illegal Trades
A major job of banking compliance is to keep separate a bank's trading and relationship functions. Citigroup Global Markets sometimes messed up that separation.
New Hire Roundup: FSI Elects Commonwealth’s Rooney to Board
Meanwhile, Thomas Franco joined Virtus Investment Partners, and Kenneth Shimberg went to Mercer.
The Unsinkable Sallie Krawcheck
Is Krawcheck weighing a robo-advisor offering? She remains tight-lipped on her plans, but tells ThinkAdvisor in a wide-ranging interview, "I'm not done yet!"
13 Best & Worst Broker-Dealers: Q3 Earnings, 2014
The third quarter saw several firms get hit with problems, while others were able boost their financial results.
JPMorgan, Wells Fargo, Citi Kick Off Q3 Earnings on Upbeat Note
The first day of third-quarter bank earnings kicked off Tuesday with a triple whammy.
Top Portfolio Products: iShares Introduces Currency-Hedged ETFs
WisdomTree launches floating-rate Treasury ETF, while Direxion rolls out an MLP high-income product.
India Seeks to Boost Foreign Currency Exchange
India’s economy has been suffering, but the country has thought of a solution that could go a long way to ease its fiscal woes.
New Hire Roundup: FPA Welcomes David Brand Back to the Fold
Also this week, Securities America names a director of practice succession and acquisition and a new member for its recruiting team, while an SEC litigator joins WIlmerHale.
New Hire Roundup: Pensionmark Adds San Diego Office
This week in new hires, Pensionmark added a San Diego office to its advisor support program and Susan Dulde was named manager of operations at Next Generation Wealth Management.
Meredith Whitney: Government Case Against S&P ‘Hard to Believe’
She discussed the government’s case against the ratings agency, her municipal bond call and her thoughts on new Citigroup CEO Michael Corbat.