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9 Feb 2010, 7:10 am
Further, as Khuzami pointed out "cooperator's testimony allows [the SEC] to act more quickly -- find out where the bank accounts are located and increase our chance of returning money to investors. [read post]
12 Dec 2008, 6:32 pm
Requiring that the proceeds be held in a segregated bank account is certainly a more prudent approach for an investor. [read post]
1 Nov 2011, 11:08 am
The ECB therefore benefits from immunities under the Foreign Sovereign Immunities Act, which grants immunity to the ECB both with regard to property held for its own account and when carrying out its official functions, including operating in the financial markets when carrying out its foreign exchange and monetary tasks. [read post]
6 May 2024, 7:33 am
The Justice Depart is investigating TD Bank’s internal controls after agents reveal New York New Jersey operations laundering hundreds of millions of dollars from Illicit drugs through TD and other banks and the Wall Street journal. https://www.wsj.com/articles/td-bank-probe-tied-to-laundering-of-illicit-fentanyl-profits-aae71243? [read post]
19 Oct 2012, 1:00 am
Each exchange we handle has its own individual, segregated bank account. [read post]
19 Feb 2015, 1:39 am
It also includes a review of how banks currently treat sovereign risk–the risk that a foreign central bank may unexpectedly change its own foreign-exchange regulations—which can devalue (or even nullify) some cross-border contracts. [read post]
1 May 2022, 9:01 pm
The new rules relating to special purpose acquisition companies proposed by the Securities and Exchange Commission on March 30, 2022, would, if adopted, have far-reaching effects on investment banks involved in business combination transactions involving SPACs. [read post]
13 Jan 2016, 3:02 pm
The Securities and Exchange Commission today announced fraud charges against 11 former executives and board members at Superior Bank and its holding company involved in various schemes to conceal the extent of loan losses as the bank was faltering in the wake of the financial crisis.The SEC alleges the high-ranking officers and directors schemed to mislead investors and bank regulators by propping up Superior Bank’s financial condition through straw… [read post]
28 Aug 2019, 3:28 pm
Securities and Exchange Commission $16 million for violating the Foreign Corrupt Practices Act with the hires. [read post]
26 Aug 2004, 1:29 pm
The US Securities and Exchange Commission said Thursday that it had settled conflict of interest charges against Europe's Deutsche Bank for $87.5M. [read post]
7 Dec 2008, 6:28 pm
According to an Iranian state radio broadcast [Reuters report], the staff members were convicted of accepting cash, foreign currency, and gold in exchange for bank credit. [read post]
26 Apr 2020, 3:30 pm
In some areas, unilateral U.S. actions have ushered in important multilateral reforms, such as the rise of automatic tax information exchange and better-regulated financial indices. [read post]
4 Dec 2010, 3:14 pm
The cumbersome, low-yield information exchange process contributes to these delays and deters the IRS from aggressive enforcement. [read post]
16 Nov 2020, 7:52 am
” The NAL prompted the Staff of the Securities and Exchange Commission to issue a public statement seeking public comment on matters concerning the definition of “qualified custodian” under the Investment Advisers Act of 1940 (the “Advisers Act”) and Rule 206(4)-2 thereunder (the “Custody Rule”). [read post]
11 May 2011, 6:00 am
Six federal agencies, including the Federal Deposit Insurance Corporation (FDIC), the Securities and Exchange Commission, and the Department of Housing and Urban Development, have jointly proposed a new rule that would require banks to retain at least five percent of the credit risk for assets-backed securities they issue. [read post]
9 Mar 2021, 9:03 pm
In most IPOs, an issuing company engages investment banks to underwrite the transaction. [read post]
24 Nov 2015, 4:27 pm
To address this, the Federal Reserve System in 2016 will develop policies and practices to encourage the exchange of, and response to, divergent staff views on all supervisory matters. [read post]
1 May 2019, 11:34 am
The treaty permits the two countries to cooperate in exchanging information that is required to carry out each country’s tax laws. [read post]
1 May 2019, 11:34 am
The treaty permits the two countries to cooperate in exchanging information that is required to carry out each country’s tax laws. [read post]
12 Sep 2011, 1:06 am
First National Bank of Arizona was one of FNB Nevada’s sister banks until the two banks merged less than 30 days prior to FNB Nevada’s failure. [read post]
