Search for: "Ocie Banks"
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13 Aug 2020, 8:12 am
OCIE said that firms may want to consider implementing additional steps to validate the identity of the investor and the authenticity of disbursement instructions, including whether bank account names and numbers are accurate.Supervision of personnel. [read post]
13 Jan 2020, 2:41 pm
Of course, OCIE will also continue to examine for compliance with testing and other AML compliance program requirements under the Bank Secrecy Act. [read post]
20 Nov 2020, 10:10 am
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar (BrokeAndBroker.com Blog)CEO Charged With Securities And Bank Fraud In Alleged Scheme To Raise Funds For Digital Advertising Company / CEO Accused of Having Corporate Executive Clients Impersonated to Raise Investments (DOJ Release)SEC Charges E-Commerce Startup and CEO With Defrauding Investors (SEC Release)SEC Charges Former Finance Department Employee with Insider Trading (SEC Release)Frail, Ineffective… [read post]
30 Jan 2020, 3:25 pm
Because OCIE often has faced challenges examining the nearly 1,000 offshore RIAs, due to strict data protection and privacy laws, OCIE also is tightening its requirements for non-U.S. [read post]
24 Mar 2020, 3:49 pm
OCIE. [read post]
14 Jan 2022, 11:25 am
He has helped hotels, restaurants, retailers, shopping centers, banks and other commercial property owners defend more than 600 ADA cases. [read post]
10 Oct 2014, 5:30 am
“Broker-dealers are key gatekeepers in addressing potential violations of the securities laws by customers,” said Kevin Goodman, National Associate Director of OCIE’s broker-dealer examination program. [read post]
27 Oct 2017, 6:24 am
Driscoll was named as OCIE’s first Chief Risk and Strategy Officer in March 2016 after previously serving as OCIE’s Managing Executive from February 2013 through February 2016. [read post]
16 Apr 2019, 9:44 am
The program will be held at the Federal Reserve Bank of Chicago from 9 a.m. to 3 p.m. [read post]
7 Oct 2009, 5:00 am
But the big unanswered question with OCIE is whether it will survive at all. [read post]
4 Mar 2021, 8:24 am
On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. [read post]
31 Jan 2019, 1:12 pm
OCIE notes that, under the Bank Secrecy Act, anti-money laundering policies must feature policies and procedures reasonably tailored to confirm customer identities, carry out customer due diligence, and examine clients for suspicious activity. [read post]
19 May 2017, 6:00 am
Cybersecurity: Ransomware Alert from SEC’s OCIE Starting on May 12, 2017, a widespread ransomware attack, known as WannaCry, WCry, or Wanna Decryptor, rapidly affected numerous organizations across over one hundred countries. [read post]
24 Jul 2015, 5:53 am
A Cetera Financial advisor lost his 17-year career after falling for an email from a hacker who impersonated a client and persuaded him to illegally transfer $160,000 to a bank unconnected with the client or his wife. [read post]
4 Jun 2019, 5:37 am
OCIE strives to embrace potentials for increased efficiencies and cost reductions, he concluded. [read post]
1 Nov 2019, 6:00 am
Stein, Latham & Watkins LLP, on Thursday, October 31, 2019 Tags: Boards of Directors, Capital structure, Disclosure, IPO Spinning, IPOs, Management, Mergers & acquisitions, Registration statements, Securities Act, Spinoffs, Taxation Mechanisms of Market Efficiency Posted by Kathryn Judge (Columbia Law School), on Thursday, October 31, 2019 Tags: Banks, CDOs, Financial institutions, Financial… [read post]
13 Nov 2015, 6:07 am
[More…] Volcker’s Covered Fund Rules: When Banking Law Borrows from a Securities Law Statute by Erik F. [read post]
14 Apr 2020, 3:53 pm
Puerto Rico: On April 8th, OCI issued Ruling Letter No. [read post]
22 Jun 2020, 10:34 am
The webinar provided an overview of Reg BI obligations, defined key terms, reviewed the SEC’s OCIE guidance regarding regulatory expectations, and provided practical suggestions for implementation by broker-dealers (BDs) and registered investment advisers (RIAs) for the June 30 deadline for compliance. [read post]
5 Oct 2011, 4:31 am
Bailed out banks taking actions just to enhance the paychecks of senior management (eg. [read post]
