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11 Oct 2013, 1:49 pm
Washington Federal, a bank headquartered in Seattle, Washington, will pay a civil penalty of $34,000 for errors in data submitted for 5,785 loans. [read post]
3 Oct 2013, 6:30 am
Include these items on the transitional duty task bank. [read post]
1 Oct 2013, 5:44 am
Regulation FD provides that a person acting on behalf of a company includes (1) any senior official of the issuer or (2) any other officer, employee or agent of an issuer who regularly communicates with any of the enumerated persons described in Regulation FD (generally thought to include directors, senior officers, investor relations and public relations officers, or people who perform similar functions, as well as any other agents or employees of a company who regularly communicate with… [read post]
29 Sep 2013, 9:39 pm
The second component of an advocacy model in banks is the creation of a fully independent board of directors. [read post]
28 Sep 2013, 4:35 pm
Gretchen Morgenson had an interesting column today about judicial frustration with banks. [read post]
22 Sep 2013, 9:46 pm
To fulfill this Dodd-Frank requirement, the SEC has adopted rules that disqualify an issuer from selling securities in reliance upon the Rule 506 exemption if the issuer, its board members, certain of its officers and its large shareholders, among others covered by the rule, have experienced a “disqualifying event. [read post]
22 Sep 2013, 3:46 pm
To fulfill this Dodd-Frank requirement, the SEC has adopted rules that disqualify an issuer from selling securities in reliance upon the Rule 506 exemption if the issuer, its board members, certain of its officers and its large shareholders, among others covered by the rule, have experienced a “disqualifying event. [read post]
20 Sep 2013, 1:56 am
In his statement about the settlement, the SEC enforcement co-director said: In addition to failing to keep watch over how the traders valued a very complex portfolio, JP Morgan’s senior management broke a cardinal rule of corporate governance: inform your board of directors of matters that call into question the truth of what the company is disclosing to investors. [read post]
18 Sep 2013, 7:38 am
As a further part of the scheme, Fields assisted in the removal of hundreds of past-due loans from past due loan reports prepared for the bank’s Board of Directors. [read post]
18 Sep 2013, 1:51 am
The “others” that might bring claims include management board members in those jurisdictions with the dual-board structure. [read post]
15 Sep 2013, 4:51 am
In her prior role, she served as a managing director of Bank of American Secruities, leading the tribal finance effort which raised more than $15 billion of capital for over 30 tribes, including syndicated bank debt, high yeild and tax-exempt bonds. [read post]
14 Sep 2013, 12:05 pm
In a letter to the SEC, the Presidents of the 12 Federal Reserve Banks expressed their support for a floating NAV for money market funds as the best avenue for reform of this vital sector. [read post]
13 Sep 2013, 12:02 pm
” They did not, however, win before the Board of Canvassers. [read post]
10 Sep 2013, 4:00 am
While advising the U.S. director on the World Bank board, I negotiated with international officials on pressing global issues on a weekly basis. [read post]
5 Sep 2013, 7:12 am
Missouri’s has two principal death care regulators: the State Board of Embalmers and Funeral Directors and the Office of Endowed Care Cemeteries. [read post]
3 Sep 2013, 1:38 am
The bank’s former directors and officers have argued to the appellate court that Judge Klausner erred in ruling that all of the various claims were interrelated and therefore triggered only a single insurance tower. [read post]
23 Aug 2013, 12:39 pm
On a more local level, four women recently attempted to board a Chicago flight to Las Vegas when they were arrested and charged with identity theft. [read post]
22 Aug 2013, 7:04 am
Bishop became CEO of Summit Bank and chairman of Summit Bank’s Board of Directors. [read post]
22 Aug 2013, 6:31 am
Palmisano, the former Chairman and CEO of IBM, who provided advice to the Board of Directors. [read post]
21 Aug 2013, 3:39 am
The participants included the Treasury secretary, Comptroller of the Currency, the Director of the Consumer Financial Protection Bureau,, the Acting Director of the Federal Housing Finance Agency, and the chairs of the Board of Governors of the Federal Reserve System, the CFTC, the FDIC, the NCUA, and the SEC. [read post]
