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20 May 2009, 8:01 am
Please consider supporting our independent reporting on SEC filings by donating here. [read post]
26 Aug 2015, 5:49 am
The anti-money laundering program shall at a minimum: (1) Establish and implement policies, procedures, and internal controls reasonably designed to prevent the investment adviser from being used for money laundering or the financing of terrorist activities and to achieve and monitor compliance with the applicable provisions of the Bank Secrecy Act and the implementing regulations thereunder; (2) Provide for independent testing for compliance to be conducted by the investment… [read post]
21 Feb 2010, 5:38 pm
"The overarching sense is that the mortgage modification process has not worked that well," said Bert Ely, an independent banking consultant. [read post]
10 Nov 2011, 12:00 am
Before the announcement, only the Ministry of Finance had authority to issue government debt, prohibiting each municipality from independently levying local taxes or directly offering municipal bonds. [read post]
10 Feb 2021, 8:22 am
To prepare personal finances, an individual may consider applying for a credit card, opening an independent bank account, removing half the funds from a joint account, and putting an emergency fund in place. [read post]
20 Jul 2011, 4:17 pm
Finally, H.R. 1315 would compromise the independence of the CFPB by imposing unwarranted restrictions on a Bureau that is already subject to significant oversight.The Administration noted that the CFPB is the only banking regulator whose rules can be set aside by a council made up of other Federal agencies. [read post]
13 Jul 2011, 10:45 am
” clauses is deliberate on the part of banks that seek to get every penny they can in fees and penalties. [read post]
23 Mar 2011, 7:21 am
There might be some accountability in states with judicial foreclosures, but here in California, independent oversight of banks' actions is only available when borrowers sue. [read post]
26 Jul 2012, 10:00 pm
The Appellate Court dismissed the fraud claim against HSH due to the German bank’s lack of due diligence before entering into a risky $500 million credit-linked transaction provided the fatal link to its fraud suit against UBS AG. [read post]
18 Jan 2022, 9:29 am
Specifically, the government intends to build on the model set out by the Financial Services and Markets Act 2000 (FSMA) providing for more extensive delegation of regulation to the BoE, with the BoE overseeing regulatory standards as the expert, independent regulator, working within an overall policy framework set by the government and Parliament. [read post]
16 Feb 2011, 9:09 am
Corporate fiduciaries can be banks, trust companies, or trust departments. [read post]
17 Mar 2020, 3:18 pm
“Significant Flexibility” in Classifying Credits The FDIC assured banks that their “prudent efforts to modify the terms on existing loans for affected customers will not be subject to examiner criticism” but noted that banks must evaluate whether changes to certain loans experiencing COVID-19-related stress qualify as troubled debt restructurings. [read post]
6 Apr 2010, 2:31 pm
Bailing out Banks we dont even owe! [read post]
26 Jul 2011, 3:10 pm
The agency is not fully independent until a director is confirmed, nor can it exercise all of its powers. [read post]
16 Feb 2009, 9:32 am
To achieve this goal, I propose a new Glass-Steagall Act, which instead of separating commercial and investment banking will separate mutual fund management from investment and commercial banking. [read post]
7 Sep 2012, 10:35 am
If you don’t have one, get yourself an independent credit card. [read post]
28 Jan 2010, 9:09 am
The instructions to the form were not independent sources of disclosure, advised the SEC. [read post]
26 Jan 2015, 7:13 am
A special provision for medical matters can be included with a regular power of attorney or it may be established as a separate and independent authority over an individual that does not include business or other matters. [read post]
11 Jul 2014, 5:00 am
Immigrants From Latin America and Africa Squeezed as Banks Curtail International Money Transfers by Michael Corkery in Dealbook As government regulators crack down on the financing of terrorists and drug traffickers, many big banks are abandoning the business of transferring money from the United States to other countries, moves that are expected to reverse years of declines in the cost of immigrants sending money home to their families. [read post]
8 Feb 2012, 6:08 pm
A position in which the person is, or would be, any of the following: (A) A named signatory on the bank or credit card account of the employer. [read post]
