A court case raises questions about Goldman Sachs's handling of clients' stock sales; a former commodities regulator discusses oil speculation; raids aim to break up computer crime rings.
The proposals range from a special insolvency regime for investment banks (there is none now) to tightening up the clearing and settling of trades, and the handling of clients' assets.
After breaches of several debt collector databases expose records for hundreds of thousands of debtors (many who shouldn't be in those files in the first place), public pressure will build for controls on collection agencies' handling of clients' data -- including a requirement that breach response programs be in place before they can be bonded or licensed.
On the other hand, the percentages of women who felt comfortable with their counselor's handling of clients and who perceived presence of enough privacy were 93.4% and 73.8% respectively (Table 3).
Goldman's handling of its clients has been a hot topic since the credit bubble burst.
Dr. Stein hired Mr. Wasserman on the recommendation of executives who were impressed by his efficient yet sympathetic handling of their clients.
Mr. Vilar, 67, and the partner, Gary A. Tanaka, 65, are charged with conspiracy and securities fraud, investment adviser fraud, mail fraud, wire fraud and money laundering while handling funds of clients of their firm, Amerindo Investment Advisors, from 1986 to 2005.
Mr. Vilar and a business partner are charged with conspiracy and securities fraud, investment adviser fraud, mail fraud, wire fraud and money laundering while handling funds of clients of their firm from 1986 to 2005.
The service provider turns out to have been Thomson Reuters, which handles scores of clients' investor relations needs, including updating their financial earnings releases.
