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15 Dec 2014, 9:26 am
Just this past September, Morgan Stanley said that it would pay for the losses incurred by customers who purchased certain mutual funds, after the bank admitted that it failed to make prospectuses for those funds available on its website. [read post]
26 Mar 2012, 6:58 am
Edith O’Brien, a treasurer for the firm, said that the internal email was sent as the broker found credit lines limited by JP Morgan, the firm’s clearing bank and one of its custodian banks for segregated customer funds. [read post]
14 Dec 2021, 8:50 pm
Focus area B is aimed at coordinating and streamlining regulatory, supervisory, and oversight frameworks across jurisdictions and at fostering efficiencies in customer due diligence processes by facilitating cross-border data flows and fostering usage of digital identification (ID) and shared customer due diligence infrastructures. [read post]
14 Apr 2019, 7:54 am
Wells Fargo Bank, N.A. [read post]
19 Apr 2011, 3:00 am
Many US customers of these sites are now scrambling to try to get their funds out of the sites and finding it difficult to do so. [read post]
21 May 2009, 7:42 pm
In one transaction, the CEO of the bank observed that it appeared to him that at one specific vendor, the "legal tail seems to wag the business dog and they've forgotten who's the customer and who's the service provider. [read post]
3 Oct 2018, 5:01 am
In other words, the bank inconvenienced its customer. [read post]
24 Jan 2014, 3:00 am
What CitiBank was able to provide the court was a copy of the monthly billing statements mailed to its customer and the bank sought to recover a summary judgment on the legal theory of Account Stated. [read post]
12 Apr 2010, 9:55 am
Tom Chase, general manager for Sovidian, told Threat Level that the company hasn’t had any banking or finance customers since 2004, and that Caverly hasn’t worked there for years. [read post]
26 Jan 2011, 7:47 am
Bank of America acquired Merrill Lynch in 2009 in a $20 billion deal forged with the help of government bailout dollars during the height of the financial crisis in 2008. [read post]
29 Jan 2016, 6:00 am
The global firms that provide those services are increasingly wary of dealing with Mexican banks as well as their customers, according to U.S. bankers and people familiar with the matter. [read post]
25 Jun 2013, 9:11 am
Manufacturers, to the contrary, take more risk in terms of providing goods to their customers on open account terms, which means on an unsecured basis. [read post]
25 Jun 2013, 9:11 am
Manufacturers, to the contrary, take more risk in terms of providing goods to their customers on open account terms, which means on an unsecured basis. [read post]
13 Feb 2014, 7:35 am
Financial institutions have similar direct interactions with their customers through other activities, such as telemarketing services, loyalty programs, and other services that involve a customer's interaction with representatives in a customer service center. [read post]
17 Jun 2019, 6:00 am
The checks were disguised as a refund or other remuneration related to the customer's Ocwen account.The plaintiffs alleged that when the checks were cashed, Ocwen and Cross Country took the customer's endorsement as a sign-up for Cross Country's home warranty plans. [read post]
15 Mar 2013, 5:46 pm
Section 509 defines a financial institution to mean any institution the business of which is engaging in financial activities as described in Section 4(k) of the Bank Holding Company Act, which includes, in addition to banks, securities underwriting, dealing and market making, as well as providing financial, investment or economic advisory services and advising an investment company. [read post]
15 Feb 2022, 10:12 am
More and more, banks are seeking ways to enter the space and offer crypto products and services in order to meet all of their customers financial and banking needs. [read post]
8 Aug 2012, 1:36 pm
Hunter for allegedly misappropriating an estimated $300,000 from his brokerage customers that he then used to pay his own personal expenses. [read post]
14 May 2018, 2:13 pm
Examination Procedures The Bank Secrecy Act/Anti-Money Laundering Examination Manual issued by federal regulators is a critical resource for any financial institution that is subject to AML laws. [read post]
21 Jan 2010, 1:36 pm
Obama proposes that commercial banks that take customer deposits cannot trade for their own propietary accounts. [read post]
