RBC, BMO settle with SEC over U.S. municipal bond sales

Two Canadian banks are among a list of 36 financial firms that have settled allegations from the U.S. Securities and Exchange Commission that they sold U.S. municipal bonds using materially false statements or omissions.


Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges

A SEC investigation found that Helmut Anscheringer purchased stock and call options in AuthenTec Inc. upon learning from a longtime friend related to an AuthenTec executive that Apple proposed to buy the company, which provided fingerprint sensors and sof


International law firm hires first US securities partners

This core offering differentiates the firm’s London-based regulatory and advisory capabilities for its investment banking clients, giving it deep insight into underwriters, both in terms of executing transactions and advising on US, UK and European