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11 Jan 2015, 9:17 am
This practice is prevalent when independent fund managers have established relations with brokerage firms. [read post]
23 Nov 2012, 12:31 pm
Under the proposed amendments, investors would benefit from: a common DRS standard; an independent DRS provider; enhanced awareness of where to go for DRS services; and, consistent expectations in terms of service levels and outcomes. [read post]
21 Jun 2010, 8:05 am
Banks will not lend money without substantial collateral. [read post]
3 Jun 2019, 4:28 pm
“The idea of a two-state solution to the Israeli-Palestinian conflict developed gradually in the years after Israel captured the West Bank and Gaza Strip in the 1967 Arab-Israeli war. [read post]
21 Jan 2010, 8:40 am
The ruling concerns 2 UCS 441(b), contributions by banks, corporations and unions. [read post]
11 Jul 2016, 2:41 pm
On July 1, 2016, the Office of the Comptroller of the Currency (OCC) published an interim final rule that amends its rules of practice for national banks and federal savings associations to adjust the maximum amount of each civil money penalty (“CMP”) within its jurisdiction. [read post]
2 Aug 2007, 9:38 am
Most of the stores that still contain the potentially contaminated products are small independent stores and convenience stores. [read post]
3 Jul 2012, 12:01 am
And an intriguing decision on refusing to find segregated bank accounts alone (without distinct accounting) sufficient to render an independent-expenditure entity distinct from a related entity making contributions, distinguishing the DC Circuit’s opinion in Emily’s List (and, perhaps, the Thalheimer litigation that Rick is working on in San Diego). [read post]
5 Dec 2019, 11:18 am
It's a powerful way for new upstarts to unseat the dominant companies in a market—rather than trying to convince customers to give up an existing service they rely on, an adversarial interoperator can make a tool that lets users continue to lean on the existing services, even as they chart a path to independence from those services. [read post]
10 Oct 2017, 12:00 am
Runstad, who retired from the Board at the 2016 annual meeting (March 1st), as a director of the Bank. [read post]
30 Oct 2017, 5:19 am
Management should take other steps such as: expanding or amending existing policies and procedures to address new activities, developing a management information system to, among other things, properly evaluate the performance of new activities, and incorporating new activities into the bank’s independent risk management, compliance management system, and audit processes to ensure adherence with bank policies and procedures and adequate customer safeguards. [read post]
20 May 2009, 5:00 am
He serves as Deputy Chairman for the Board of The Federal Reserve Bank of Chicago. [read post]
4 May 2009, 11:00 am
Thornton, a former chairman of Goldman Sachs, serves on the board of News Corporation, Intel, Inc., China Netcom Group Corporation (Hong Kong) Limited, and the Industrial Commercial Bank of China Limited. [read post]
20 Jul 2018, 12:32 pm
Infinex offers securities on bank premises and has selling agreements with approximately 30 banks in Massachusetts. [read post]
9 Apr 2013, 12:11 pm
The FSA appointed independent reviewers who would oversee each bank’s review in order to assure unbiased reviews of any claims. [read post]
16 Jul 2009, 6:20 am
As a way to contribute to the current debate on corporate governance reforms, I have written a practitioner-based article, to be published in two parts by the Global Corporate Governance Forum of the World Bank Group, examining the uses and limits of five commonly employed corporate governance instruments - transparency, independent monitoring by the board of directors, economic alignment, shareholder rights, and financial liability. [read post]
21 Nov 2019, 8:19 am
On 20 November 2019, the Financial Markets Law Committee (FMLC) published a letter, sent to HM Treasury, relating to Article 59 of the revised Bank Recovery and Resolution Directive (BRRD II). [read post]
4 May 2010, 11:42 am
Make bank regulatory decisions independently based on whatever criteria are important to that. [read post]
4 Dec 2010, 5:15 am
In Comerica Bank v. [read post]
18 Jul 2008, 3:37 pm
Brian and James' presentation was titled "Administration, Banking, Custody and AML Update". [read post]
