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Settlement Financial Services Authority

Katten Muchin Rosenman LLP

Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer

The New York State Department of Financial Services (DFS) recently announced that hedge fund advisor Philip Falcone (Falcone), and all employees of his firm Harbinger Capital Partners (Harbinger Capital), are banned for seven...more

Orrick - Finance 20/20

FSA Fines UBS £9.45 Million for Failings in AIG Fund Sales

Orrick - Finance 20/20 on

On February 12, the FSA published a final notice issued to UBS AG, setting out a fine of £9.45 million in respect of failings identified in its sale of the AIG Enhanced Variable Rate Fund (the Fund). Having reviewed sales of...more

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