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3 Jul 2017, 12:48 pm
For firms providing services to retail clients, the FCA will: (i) extend the inducement ban to the provision of restricted (as well as independent) advice; and (ii) prohibit the acceptance of commission and benefits, rather than their acceptance and retention (i.e. to ban rebating of inducements). [read post]
30 Jun 2017, 6:24 am
” New Mexico – State Ethics Panel Is a Work in ProgressAlbuquerque Journal – Dan Boyd | Published: 6/21/2017 New Mexico lawmakers approved the creation of an independent ethics commission during this year’s legislative session, but there is still much unsettled about how the body would function, even if it is approved by voters next year. [read post]
30 Jun 2017, 6:01 am
Sloan, Simpson, Thacher & Bartlett LLP, on Friday, June 23, 2017 Tags: Banks, Capital requirements, CFPB, CHOICE Act, Financial institutions, Financial regulation, Foreign banks, Liquidity, Mortgage lending, Securities regulation, Stress tests, Systemic risk, Treasury Department, Volcker Rule A Modest Proposal? [read post]
27 Jun 2017, 6:46 am
As The Independent is reporting this morning, it appears that Ukraine is under a sustained cyber assault: "Ukraine’s national bank, state power company and largest airport are among the targets of a huge cyber attack on government infrastructure. [read post]
22 Jun 2017, 5:06 pm
An efficient (or effective) justice system could potentially suffer from a lack of an independent judiciary and/or miss fairness of procedures and quality of judicial service. [read post]
22 Jun 2017, 11:37 am
Chamber of Commerce announced that a consortium of more than two dozen chamber member companies, including prominent big banks, big-box retailers, and technology giants released a set of principles designed to promote fair and accurate cybersecurity ratings. [read post]
22 Jun 2017, 11:37 am
Chamber of Commerce announced that a consortium of more than two dozen chamber member companies, including prominent big banks, big-box retailers, and technology giants released a set of principles designed to promote fair and accurate cybersecurity ratings. [read post]
20 Jun 2017, 7:22 am
An example of a fact-based analysis is the March 2016 “The State of Women’s Rights in the Arab World” feature published by the World Bank. [read post]
19 Jun 2017, 6:06 am
Strong arrangements are necessary at board level to ensure that the ring-fenced banks can take decisions independently both in times of crisis and, in good times, to maintain the integrity of the ring-fence; the ability to act independently does not stop at board level but needs to permeate throughout the organisation. [read post]
18 Jun 2017, 12:23 am
The plaintiff was injured while attempting to conduct a banking transaction at an ATM machine at the defendant bank. [read post]
16 Jun 2017, 6:19 am
Stein and Hong Zhao, Arizona State University, on Thursday, June 15, 2017 Tags: Agency costs, Board independence, Board leadership, Board monitoring, Board performance, Boards of Directors, Executive Compensation, Executive performance, Executive turnover, Management, Oversight The Dangerous “Promise of Market Reform”: No Shareholder Proposals Posted by Adam M. [read post]
16 Jun 2017, 4:43 am
“banks, savings associations, and credit unions of all sizes, types and regulatory charters. [read post]
15 Jun 2017, 9:28 am
Hall & Wilcox is a leading independent Australian law firm with 70 partners and offices in Sydney, Melbourne, Brisbane, Perth, Canberra and Newcastle. [read post]
14 Jun 2017, 8:41 am
Attempts to formalize titling have often foundered when people stop recording transactions after the initial, subsidized formalization, and Arruñada believes that owners aren’t underestimating the value of title but rather title suppliers are overestimating it.To work, registries have to be independent of all the parties involved. [read post]
14 Jun 2017, 7:06 am
Much of report deals with banking issues, but several items broadly apply to swaps and derivatives regulations, the rulemaking process at independent financial agencies, and the Volcker rule. [read post]
13 Jun 2017, 12:09 pm
Key changes include: Overhaul of the Consumer Financial Protection Bureau: The independent bureau would be reconstituted as an executive-branch agency called the Consumer Law Enforcement Agency. [read post]
13 Jun 2017, 9:15 am
Can You Collect Attorney Fees From a Bank Related To A Foreclosure? [read post]
13 Jun 2017, 5:32 am
” There are a number of regulatory exemptions, such as recommendations made to a “sophisticated” adviser or investor or if an adviser offers advice to an independent plan or IRA fiduciary in an arm’s-length transaction and the adviser reasonably believes the independent fiduciary is a qualified financial institution (e.g., a bank, insurance company or a broker-dealer) or if the recipient of the information manages at least $50 million in assets… [read post]
12 Jun 2017, 12:15 pm
Harris Trust & Savings Bank in December 1993, O’Connor, who was among the dissenters, sent over a note that read: “This is your first opinion for the court, it is a fine one. [read post]
9 Jun 2017, 2:16 pm
Nevertheless, Mladenovic and Kummerlen separately and independently identified Lenard from a photo array. [read post]
