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10 May 2021, 8:29 am
Sometimes lawmakers tax tech for the same reason Willie Sutton robbed banks: that’s where the money is, or at least, that’s the perception. [read post]
9 May 2021, 9:05 pm
For example, DeFi transactions conducted between individual users through unhosted wallets would not be subject to Bank Secrecy Act (BSA) requirements, including Know-Your-Customer and anti-money laundering reviews. [read post]
8 May 2021, 5:08 am
These include the preparation of the goods for delivery and their delivery, advertising and promotional activities, information to customers, and the refund of the price of faulty goods. [read post]
7 May 2021, 4:10 am
Whistleblowers Battle Over How To Slice the SEC Award Pie (BrokeAndBroker.com Blog)Former President of First Mortgage Company Pleads Guilty to Bank Fraud, Money Laundering, and False Statements to a Financial Institution (DOJ Release)FINRA Fines and Suspends Rep Over Customer LoanIn the Matter of Hung Sam, Respondent (FINRA AWC)... [read post]
6 May 2021, 6:09 pm
Investment banks that position themselves to provide advisory services designed to meet the industry’s need for consolidation and innovation are sure to do well. [read post]
6 May 2021, 6:09 pm
Investment banks that position themselves to provide advisory services designed to meet the industry’s need for consolidation and innovation are sure to do well. [read post]
6 May 2021, 9:09 am
In September of 2018, Merrill Lynch terminated the Claimant in this arbitration for allegedly opening up a Bank of America bank account for a customer without authorization. [read post]
6 May 2021, 9:02 am
According to the FINRA action, he violated FINRA Rule 2111 (suitability), in connection with the recommendation to 78 investors to purchase variable annuities, that were inconsistent with the customers’ investment profiles, risk tolerance, liquidity needs, and time horizon. [read post]
6 May 2021, 8:24 am
The Popwallet platform enables easy mobile wallet card creation, direct customer engagement through card updates, messages, and notifications, and campaign automation. [read post]
5 May 2021, 7:23 am
Maroney also transferred $617,000 into Celtic Enterprises LLC, another company he controls, and $394,000 into a joint bank account with his wife, Tonya Maroney. [read post]
4 May 2021, 9:05 pm
Banks are required, as part of their customer identification programs (CIP), to collect identifying information from customers before opening an account and then to verify this information with government-issued documents or other non-documentary sources. [read post]
4 May 2021, 7:05 am
This allows for payments to be received via direct deposit straight to your bank account. [read post]
4 May 2021, 6:13 am
BANKING LICENCE REQUIREMENTS Conducting credit activity within the French territory where any drawing or rollover of advances occurs in France (by a French or foreign incorporated company) requires a banking licence pursuant to the French banking monopoly regulations. [read post]
4 May 2021, 5:45 am
Unlike other initial public offerings, Robinhood is considering giving its own customers first dibs on the newly issued shares. [read post]
3 May 2021, 9:05 pm
In large public offerings, issuers may agree to distribute discounted shares to a syndicate of Wall Street investment banks as compensation for the banks undertaking the risks of underwriting the offering. [read post]
3 May 2021, 9:35 am
“Our customers are seeing significant growth of cybercrime and digital evidence related to their investigations globally. [read post]
30 Apr 2021, 7:57 am
The FTC also alleged the defendants engaged in unfair acts or practices by taking money from business’ bank accounts without permission. [read post]
30 Apr 2021, 6:25 am
Some borrowers saw as much as $50,000 in unauthorized transactions to Nationstar in bank statements. [read post]
29 Apr 2021, 8:26 am
Banks risk being stuck with back-end transactions with high fixed-costs and strict regulation “while being marginalized” in customer-facing services where the value lies, the report warns. [read post]
29 Apr 2021, 5:01 am
Data brokers count among their customers advertisers, merchants, employers, bankers, insurers, police departments, schools, hospitals, and others. [read post]
