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The SEC’s Proposed Rule on Climate-Related Disclosures Federal financial services regulators have made clear their intention to use their regulatory power to protect market participants from alleged abuses relating to ESG. [read post]
24 Aug 2022, 5:01 am by Jim Dempsey
In the financial services field, where regulators routinely and persistently inspect the entities under their jurisdiction, the Federal Financial Institutions Examination Council has specifically spelled out how bank examiners should assess a bank’s risk assessment, as a prelude to examining its overall cybersecurity posture. [read post]
16 Aug 2022, 6:24 am by Richard Hunt
What Williams wanted, of course, was not equality but an accommodation in the bank’s policies that she thought was necessary for her equal use of the bank’s services. [read post]
12 Aug 2022, 6:34 am by Dan Bressler
” “Some of the deals Kirkland has invested in alongside clients include taking stakes in Blackstone Inc. [read post]
10 Aug 2022, 6:45 pm by Race to the Bottom
Id.On June 13, 2022, the SEC charged three Schwab registered investment adviser subsidiaries, Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc., for misleading robo-adviser clients within their mandatory disclosures. [read post]
1 Aug 2022, 9:01 pm by Jeff Lubitz
RCB Fund Services was appointed to manage the claims filing process. [read post]
29 Jul 2022, 6:19 am by Chris Castle
That also doesn’t mean they can’t hold the money in an account at City National Bank in Nashville that pays a higher interest rate and keep that delta. [read post]
25 Jul 2022, 5:01 am by Alistair Simmons, Justin Sherman
In response, the general manager of KBM’s Merchant Services group wrote: “Who responds to this stuff?? [read post]
22 Jul 2022, 8:55 am by Zak Gowen
Zelle Volumes Climb Quickly for BofA, Surpassing Checks for the First TimeDigital Transactions News – July 19, 2022 Five years after its launch, the Zelle person-to-person payments service continues to boost payment volumes for one of its founders, Bank of America Corp. [read post]
18 Jul 2022, 2:46 pm by Kevin LaCroix
In the following guest post, ISS Securities Class Action Services and the FOX Williams law jointly report on the current state of play in European Class Actions. [read post]
17 Jul 2022, 3:45 am by Tom Sharbaugh
  See, e.g., Bayer Billing Guidelines at 7 (“Bayer will not pay for fees associated with services provided by first-year associates on an engagement unless prior written approval of Bayer Counsel has been given for such services”; “Bayer will ordinarily not pay for trainees’ time”). [read post]
12 Jul 2022, 11:22 am by The White Law Group
   Filing a Claim against your Brokerage Firm   According to his broker record, Hollifield was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry:    10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA  09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
8 Jul 2022, 5:01 am by Elliot Setzer
Forum for Academic & Institutional Rights, Inc. [read post]