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An SEC fine of a Pennsylvania bank over an accounting matter from more than five years ago raises questions about how long community banks should be on guard about challenges to their conduct during the financial crisis.
February 5 -
President Obama's 2016 budget tax proposals would raise taxes on the wealthy and multinational corporations stashing profits offshore, while promising middle-class tax cuts.
February 5 -
UBS Group is being investigated by the U.S. over whether it helped Americans evade taxes by improperly using securities that let owners conceal their identity, three people familiar with the matter said.
February 5
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With mutual fund assets growing exponentially, more private fund managers are taking advantage and launching retail funds. They might be unfamiliar with the scrutiny faced by traditional mutual funds, especially since Sarbanes-Oxley was passed. There are things to keep in mind when considering the best Sarbanes compliance practices.
February 5
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Holdings in ETPs backed by silver fell 0.3% last month, after declining 3% in December, while gold holdings jumped 4.1% in January. Retail investors account for 80% of U.S. purchases.
February 5 -
Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.
February 4 -
Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.
February 4
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"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.
February 4 -
The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.
February 4 -
The former branch vice president will now serve high-net-worth clients at the banks Los Angeles office.
February 4
