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Legg Mason Settles SEC Bribery Case for $34M

August 29, 2018 by Eugene Grygo

Legg Mason Settles SEC Bribery Case for $34M

Asset manager Legg Mason Inc. will pay more than $34 million to settle the SEC allegations that the firm engaged in a bribery scheme via government officials in Libya that was in clear violation of the Foreign Corrupt Practices Act (FCPA). Legg Mason is charged with violating “the internal accounting controls provision of the Securities… Read More >>

Filed Under: Securities Operations, Data Management, Operational Risk, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Standards, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: bribery scheme, Legg Mason, Libyan government, SEC, settlement, Societe Generale, U.S. Foreign Corrupt Practices Act

Bill Miller Parts Company with Legg Mason

August 22, 2016 by Louis Chunovic

Miller Acquires LMM from Legg Mason  Noted fund manager Bill Miller is leaving asset manager Legg Mason via an agreement in which Miller will acquire all of Legg Mason’s interests in LMM LLC (LMM), according to Legg Mason officials. Miller’s successful stockpicking run during the 1990’s helped raise the profile of Legg Mason. The agreement… Read More >>

Filed Under: Industry News, People Moves Tagged With: Bill Miller, BNY Mellon Investment Management, Hanneke Smits, Helena Morrissey, Legg Mason, Lombard Risk, Newton Investment Management, Tracey Adams

Have a Great Thanksgiving and Enjoy Our SMAC Chats

November 25, 2015 by Eugene Grygo

Have a Great Thanksgiving and Enjoy Our SMAC Chats

Financial Technologies Forum (FTF) and its news division FTF News will be closed Thursday and Friday, so that we can take a short break over the Thanksgiving holiday weekend. We will be returning with hot news for the Monday morning after Thanksgiving. But, in the meantime, we will be offering extremely useful content for the… Read More >>

Filed Under: Industry News, General Interest, Opinion, Minding the Gap, Regulation & Compliance, Social Media, Industry News Tagged With: al raymond, Amy Sitnick, Beth Wood Leidt, blogging, branding, compliance, customer experience, Deloitte, Financial Technologies Forum, FTF News, FTFSMAC, Guardian Life Insurance, Kerry Ryan, Legg Mason, Michelle Chastain, Primerica, SEI, SMAC, social media, social media and compliance, social media crisis, social media strategy, TD Bank, Thanksgiving

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