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Make Ethics A Habit By Turning It Into A Top Priority
Investor’s Business Daily Tamar Frankel, School of Law People talk about the importance of business ethics. Mark Pastin, CEO of the nonprofit Council of Ethical Organizations, illustrates its value...
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Fiduciary Standard Getting Watered Down?
Financial Planning Tamar Frankel, School of Law Even as the SEC is contemplating an expansion of fiduciary rules to include broker-dealers who operate in the retail space, some advocates argue that the...
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The Devil Made Ex-Microsoft Exec Do Insider Trading
E-Commerce Times Tamar Frankel, School of Law The U.S. Attorney’s Office for the Western District of Washington and the Securities and Exchange Commission have lodged criminal and civil enforcement...
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America’s fascination with con artists
RedEye Chicago Tamar Frankel, School of Law Gail Bullock got the letter in the mail at what seemed like the perfect time… Expert quote: “What makes them successful is they can be very charming. They...
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Goldman Sachs Sued by Libyan Wealth Fund
Wall Street Journal (subscription required) Tamar Frankel, School of Law Libya’s sovereign-investment fund sued Goldman Sachs Group Inc. GS +0.28% over trades that soured during the financial crisis,...
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Appeals Court Ruling Strengthens SEC’s Hand in Insider-Trading Cases
Wall Street Journal “Law Blog” (subscription required) Tamar Frankel, School of Law A federal appeals court signficantly strengthened the Securities and Exchange Commission’s hand in insider trading...
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BNP Paribas Risks Customer Flight as Dollar-Transfer Ban Looms
Bloomberg Tamar Frankel, School of Law Credit Suisse Group AG (CSGN) emerged from a guilty plea this week relatively unscathed. The punishment that prosecutors are now holding over BNP Paribas SA...
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SEC Chair Outlines New Rules for Equity Markets
Associated Press Tamar Frankel, School of Law The Securities and Exchange Commission is embarking on a broad plan to tackle growing concerns about the impact of high-speed computer-based trading on...
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Why We Need to Restructure the Big Bank Holding Companies
American Banker (subscription required) By Tamar Frankel, School of Law Many contributors helped bring about the most recent financial crisis, bank holding companies among them. The problems with bank...
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China’s favorite sons will score big in Alibaba IPO
MarketWatch Tamar Frankel, School of Law Lots of people will do very, very well when Alibaba Group Holding’s shares start trading on the New York Stock Exchange on Friday… Expert quote: “The answer is...
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SEC Commissioner Takes Incoming Fire From Multiple Sources in Harvard Spat
Value Walk Tamar Frankel, School of Law As the Harvard-led academic crowd continues to fire salvos at a Republican Securities and Exchange Commission chairperson, the debate over what will either...
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Bill Gross Invested More Than $700 Million in New Janus Fund
Wall Street Journal (subscription required) Tamar Frankel, School of Law Janus Capital Group Inc. confirmed that the bulk of the money flowing into the new bond fund of star manager Bill Gross came...
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While Regulators Fiddle, Avoid Getting Burned
Wall Street Journal (subscription required) Tamar Frankel, School of Law Your broker still doesn’t have to be on your side, but he’s getting pushed in that direction… View full article quoting expert...
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SEC cracks down on retirement advisers
MarketWatch Tamar Frankel, School of Law The nation’s top stock cop plans to check this year on how financial professionals – maybe even the one you use or plan to use — manage all things related to...
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On The 75th Birthday Of The 1940 Act, A Reminder Of The F-Word’s Power
Huffington Post Tamar Frankel, School of Law September is here and there is no better season to celebrate the F word: F, in this case, for the fiduciary standard… Expert quote: “I submit to you that...
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The Russian Ex-con and the Bitcoin-Powered Invesment with “100%” Returns
Fast Company Tamar Frankel, School of Law Regulators around the world are watching Sergey Mavrodi’s MMM Global, a “mutual aid” system they say smells like a pyramid scheme… View full article quoting...
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Vanguard, a Champion of Low Fees, Faces a Peculiar Tax Challenge
New York Times (subscription required) Tamar Frankel, School of Law Vanguard may have committed a sin while pursuing a virtue… Expert quote: “Vanguard was designed to eliminate conflicts of interest....
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You — Not the Government — Are Responsible For Your Retirement Savings
Wall Street Journal (subscription required) Tamar Frankel, School of Law It’s still your job, not the government’s, to protect your retirement savings… Expert quote: “A fiduciary doesn’t have to be...
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Obama Retirement-Savings Rule Faces Industry-Led Court Battle
Wall Street Journal (subscription required) Tamar Frankel, School of Law Big business and financial industry trade groups are taking to the courts to block a controversial Obama administration rule...
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Fiduciary rule: bulletproof to first attack?
Financial Planning Tamar Frankel, School of Law In what could be their last hope to block the implementation of the fiduciary rule, the U.S. Chamber of Commerce, SIFMA, FSI and other business groups...
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