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26 Aug 2015, 5:49 am
Here is the main part of the proposed regulations: (a)(1) Each investment adviser shall develop and implement a written anti-money laundering program 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 (31 U.S.C. 5311 et seq.) and the implementing regulations thereunder. (2) Each investment adviser’s anti-money… [read post]
1 Nov 2021, 4:08 am
The judgment will consider proprietary claims brought by a company against its directors to recover proceeds of crime received in breach of fiduciary duty, and whether the illegality of the directors can be attributed to the company itself. [read post]
8 Mar 2010, 5:00 am
There is a detailed discussion about the appropriate methods of removing directors from the board. [read post]
20 Jun 2012, 8:13 am
Dunn is a past chair of AILA NY and was also a member of the AILA national’s governing board of directors. [read post]
1 Nov 2009, 5:08 am
(NYSE: CIT), a leading provider of financing to small businesses and middle market companies, today announced that, with the overwhelming support of its debtholders, the Board of Directors voted to proceed with the prepackaged plan of reorganization for CIT Group Inc. and a subsidiary that will restructure the Company's debt and streamline its capital structure.Importantly, none of CIT's operating subsidiaries, including CIT Bank, a Utah state bank, will… [read post]
15 Aug 2016, 7:49 am
About the guest author: Bill Aukamp, Esq.: During his career, Bill Aukamp has: served as both inside and outside bank general counsel; President & CEO of Chemical Bank Delaware; member of the board of directors of Christiana Bank & Trust Company; Chairman of the Delaware Bankers Association; and member of the American Bankers Association’s Government Relations Council. [read post]
11 May 2009, 3:14 am
Benjamin Cardin05/08/2009
Letter to New York Federal Reserve Bank Chairman William Dudley From Chairman of the Board of Directors Stephen Friedman (PDF 45 KB)Letter Offers Friedman's Resignation for His Ownership of Shares of Goldman Sachs While Serving on the Federal Reserve Bank of New York05/08/2009
Letter to President Barack Obama From White House Military Office Director Louis Caldera (PDF 32 KB)Letter Announcing Resignation as… [read post]
21 Feb 2020, 6:13 am
Kim, Wachtell, Lipton, Rosen & Katz, on Monday, February 17, 2020 Tags: Banks, Boards of Directors, Change in control, Federal Reserve, Financial institutions, Financial regulation, Financial technology, Private equity, Securities regulation, Shareholder activism Proposed Amendments to Financial Disclosure and Guidance on Use of Metrics in Management Discussion and Analysis Posted by Mark S. [read post]
18 Feb 2014, 12:19 pm
The Obama administration isn’t on board with the idea but variations on the tax have made their way into proposed legislation. [read post]
14 Jul 2011, 9:55 am
The CFPB officially opens for business on July 21, 2011, a week from today, and it is still without a director. [read post]
29 Mar 2018, 7:03 am
It's important to note that the Business Court did not find that the implementation of the Plan by the KS Board of Directors was a violation of their fiduciary duty. [read post]
6 Dec 2023, 2:35 am
The HKEX also has introduced various initiatives to help issuers adapt to these changes, including providing an online director training programme covering board diversity, and issuing detailed guidance for boards and directors. [read post]
20 Nov 2023, 7:57 pm
Roles and responsibilities of the board of directors The board of an insurer is ultimately accountable for oversight of operational risk management, business continuity and management of service provider arrangements. [read post]
4 Jan 2012, 9:04 am
Without a director, the agency is hamstrung by wording in Dodd-Frank from fully carrying out its mission to police the murky world of non-bank lenders. [read post]
16 Dec 2020, 2:01 pm
If approved, the rule will require listed companies to disclose the racial, LGBTQ+ status, and gender makeup of their boards of directors and have a minimum number of diverse directors or explain why they could not—or elected not to—achieve the established targets. [read post]
4 Mar 2010, 10:36 am
Treasury Circulates Draft Legislation Implementing Volcker Rules on Banks and Hedge FundsThe Treasury is circulating draft legislative language that would implement the Volcker rules to prohibit banks and bank holding companies from sponsoring and investing in hedge funds and private equity funds. [read post]
8 Jan 2008, 7:02 am
” Wrote Citigroup: “Run by felons and self-confessed fraudsters, and under the supervision of a compliant board of directors that at best chose either not to look, or to look the other way, Enron as a matter of law has only itself to blame. [read post]
6 May 2014, 8:40 am
She is a member of the following associations and prestigious institutions: Puerto Rico Bar Association Puerto Rico Federal Bar Association American Bar Association American Bankruptcy Institute Puerto Rico Notary Association She has occupied various high level positions in the public service such as Attorney Advisor to; The Director of the Puerto Rico Energy Power Company The United States Trustee for the District of Puerto Rico She has actively participated as a member of… [read post]
17 Dec 2013, 8:18 am
The Covered Entities include financial institutions, investment banking firms, mortgage banking firms, asset management firms, brokers, dealers, financial services entities, underwriters, accountants, investment consultants, and providers of legal services. [read post]
17 Dec 2013, 8:18 am
The Covered Entities include financial institutions, investment banking firms, mortgage banking firms, asset management firms, brokers, dealers, financial services entities, underwriters, accountants, investment consultants, and providers of legal services. [read post]
