Search for: "Exchange Bank"
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20 Sep 2014, 9:05 pm
SEC regs suppress small business capital formation and that’s a shame [Commissioner Daniel Gallagher via Bainbridge] Federally sponsored gripe site for financial institutions not likely to end well [Hester Peirce and Vera Soliman, Mercatus via Kevin Funnell] Alleged terror payments “routed through” sued bank also went through major New York banks, which shouldn’t be surprising [Fisher] Did mid-level managers in securitized mortgage finance know they… [read post]
30 Apr 2012, 2:40 am
New rules requiring U.S. banks to report interest on deposits held by nonresident aliens represent a significant advance in global information sharing and may be a factor in getting more countries to sign agreements to automatically exchange information with the United States, practitioners told BNA in recent interviews. [read post]
23 Jun 2021, 8:46 am
The government alleged that James Vorley, a trader in a London branch of Deutsche Bank, and his accomplice Cedric Chanu, based in Singapore, placed "spoof" orders on the CME’s Commodity Exchange (COMEX) for precious metals futures. [read post]
26 Jul 2015, 7:35 pm
Lending to emerging economies diverged from the global trend during Q1 2015, contracting by $50 billion on an exchange rate-adjusted basis. [read post]
28 Oct 2016, 7:08 am
SWIFT, a non-profit cooperative, operates a global payment network that uses a messaging system through which banks contact one another and exchange payment information. [read post]
26 Jan 2011, 7:00 am
Wilhelm Jr. have posted Computerization and the Abacus: Reputation, Trust, and Fiduciary Duties in Investment Banking on SSRN with the following abstract: On April 16, 2010 the Securities and Exchange Commission... [read post]
11 Jan 2010, 10:22 am
It follows that there will be strong demands on micro and macro-prudential regulators to ensure the smooth exchange of information under the post-crisis regulatory regime now being created. [read post]
11 Feb 2015, 7:32 am
In one exchange, an RBS submitter pretended he would not agree with a request, but let himself be persuaded by an offer of day-old sushi. [read post]
11 Mar 2022, 10:05 am
When routing customer orders to exchanges through its smart order router, the firm routed its customers’ marketable orders to SuperX before routing any part of the order to an exchange, unless customers opted out of this routing preference. [read post]
13 Jan 2010, 6:28 pm
On January 11, 2010, District Judge Jed Rakoff rejected the Securities and Exchange Commission’s request to file a amended complaint. [read post]
18 Apr 2008, 9:48 am
Austria - in the middle of Europe - provides a degree of banking secrecy which is granted by a Banking Law with the same rank as the Constitution. [read post]
26 Jan 2013, 11:27 am
In the MarketWatch interview Jacobs says that a wider tick would help to stimulate trading in the securities of illiquid small public companies by providing incentives to investment banks to increase trading in these securities. [read post]
11 Feb 2014, 3:50 pm
It is the largest settlement with a single entity in the history of the country and involved the biggest, richest and most politically well-connected bank in the county. [read post]
13 May 2024, 8:58 pm
After months of speculation, the Bank of Thailand (BOT) has published its official Ministerial Notification on Guidance, Procedures, and Conditions for applying for a Licence for Virtual Bank (Virtual Bank Notification) on 4 March 2024. [read post]
16 Jun 2021, 5:59 am
By contrast, other federally regulated businesses—including stock exchanges, broker-dealers, investment companies, and bank holding companies—although licensed by federal agencies, owe their corporate existence to the states. [read post]
14 Jul 2009, 5:00 am
These include banks and insurance companies and, apparently, at least one brewery. [read post]
22 Apr 2012, 12:37 pm
Until that date of termination, the bank holding company is required to file all reports required by Exchange Act Sections 13(a), 14, and 16. [read post]
16 May 2011, 4:00 pm
A bank teller became suspicious after the woman gave $3,000 to them to have it exchanged for $100 bills. [read post]
22 Apr 2012, 11:54 am
On April 19, the Internal Revenue Service published a final rule that requires U.S. banks to report annually the deposit interest paid to nonresident alien account holders. [read post]
20 Feb 2022, 1:44 pm
It covers violations of the Bank Secrecy Act and entities in the money services business. [read post]
