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16 May 2024, 9:05 pm
The gross amounts due from or to the customer do not change based on whether the customer has split its trading across counterparties because each transaction is treated separately. [read post]
27 Aug 2015, 1:10 pm
And if FinCEN’s August 2014 proposed rule requiring financial institutions to identify and verify the beneficial owners of legal entity customers comes to fruition, it may, in many cases, expand the scope of customer due diligence for banks and broker dealers with respect to their investment adviser customers and, in turn, the customers of their investment adviser customers. [read post]
7 Oct 2015, 8:27 pm
But they have earned the banks hundreds of millions of dollars across many customers. [read post]
1 Apr 2022, 7:53 am
Coinbase for example held $278 Billion in cryptocurrencies for its customers as of Dec 31, 2021. [read post]
12 Aug 2008, 4:35 pm
These precedents would require remaining Wall Street banks to repurchase auction-rate securities from individual retail customers, charities, and small businesses, reimburse such clients for any losses that they sustained by selling after February 12, 2008, set up a resolution process for customers who sustained unusual damages, and pay significant fines for their misconduct. [read post]
28 Jul 2017, 10:12 am
According Dutton’s BrokerCheck report, he allegedly “recommended the purchase of a security to at least one customer without reasonable grounds to believe that the transaction was suitable for the customer. [read post]
21 Jan 2020, 9:09 am
The objective of Specific Direction 10 (SD10) is to reduce losses to customers resulting from authorised push payment fraud and accidentally misdirected payments through the introduction of a “Confirmation of Payee” request on directed banks. [read post]
23 Jul 2020, 7:22 am
In the latest Merchants Guide To Navigating Global Payment Regulations, Arregui discusses how merchants can best adjust to open-banking rules and tailor their offerings to meet the needs of a mobile-first, unbanked customer base. [read post]
20 Aug 2017, 6:24 am
Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Sunday, August 20, 2017 Editor's Note: Dan Ryan is Banking and Capital Markets Leader at PricewaterhouseCoopers LLP. [read post]
24 Jun 2022, 7:10 am
Good solicited customers to transfer funds to his personal bank account, allegedly for investments in real estate and government bonds. [read post]
15 Sep 2010, 12:20 pm
This article by me was first published in Retail Banking Review here. [read post]
4 Oct 2011, 8:34 am
Last week, Bank of America shocked customers when it announced that it would begin charging $5 per month for using their (well, your) debit cards. [read post]
3 Mar 2020, 9:03 am
In addition, because Paxos is incorporated under New York banking law, chartered under New York banking law, it follows all the practices for anti-money laundering/Know Your Customer (AML KYC) and has a Bank Secrecy Act (BSA) officer.Some of the benefits of tokenized dollars are 24/7 instantaneous movement and lower cost, said Cascarilla. [read post]
12 Apr 2011, 5:36 pm
In 2010, banks sold nearly $7 billion worth of these securities to U.S. investors. [read post]
2 Mar 2008, 8:38 am
The documents allegedly prove that the bank helps very rich customers hide assets, launder money, and evade taxes. [read post]
4 Nov 2009, 11:25 am
Bank of America allegedly responded with an e-mail saying "go ahead and deposit the check," adding that it was drawn on Citibank's account, not the customer's, which made it Citibank's obligation to make sure it was funded and that "[i]t would be unheard of for the bank to bounce one of its own checks. [read post]
23 Oct 2009, 8:50 am
The Fair Credit Reporting Act was amended in 2003 to require the FTC and the Federal banking agencies to develop Red Flags regulations for banks and creditors in order to help prevent identity theft. [read post]
30 Jul 2020, 6:52 am
On 29 July 2020, the European Banking Authority (EBA) issued a press release reminding financial institutions that the transition period will expire on 31 December 2020, and that UK-based financial institutions will no longer be able to passport their services into the EU. [read post]
26 Apr 2010, 7:55 am
Contact a CSC customer service representative at 800.927.9800 ext. 5077 or visit www.cscglobal.com for more information. [read post]
3 Mar 2010, 6:41 am
Contact a CSC customer service representative at 800.927.9800 ext. 5077 or visit www.cscglobal.com for more information. [read post]
