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25 Aug 2014, 1:20 pm
Such reasons include a delay related to a provider’s fraud screening procedures or the Bank Secrecy Act (BSA), OFAC requirements or similar laws or requirements. [read post]
22 Nov 2023, 4:15 am
Obviously, the SEC ended up deciding to go with the most extreme approach to implementing the Dodd-Frank Act directive, but at least it is over! [read post]
22 Mar 2011, 4:03 am
OTCBB is operated by FINRA, but in September 2010, FINRA entered into an agreement to sell the OTCBB to the investment banking firm Rodman & Crenshaw. [read post]
18 Aug 2011, 5:00 am
Madoff, as well as several major Wall Street firms that later were the subject of scrutiny after the 2008 financial crisis, including Goldman Sachs, Lehman Brothers, Citigroup and Bank of America. [read post]
25 Feb 2012, 7:14 am
Richard Shelby (R-AL), Ranking Member on the Banking Committee. [read post]
20 May 2011, 9:39 pm
Dodd-Frank still has dozens of rules in various stages in the sausage-making assembly line. [read post]
25 Mar 2010, 9:12 pm
The deputy economy minister of Panama (MEF), Frank De Lima told reporters today that the agreement with Mexico, which is signed in the Mexican city of Cancun, does NOT imply a reform of the banking law, but does result in the tax reforms which the government intends to submit shortly to the legislature. [read post]
18 Jul 2012, 5:00 am
The article stated that this was the "most prominent instance of a major U.S. bank seeking to recover pay from a high-ranking executive since the financial crisis. [read post]
26 Mar 2011, 3:10 pm
In the United States, the Dodd-Frank Act allows the CFTC to impose position limits across different markets, including the energy and agricultural markets, and with respect to trading in certain OTC derivatives. [read post]
7 Dec 2021, 4:00 am
The initial investment can be easily proved if it was made from a bank account, but following the funds after this point can be difficult. [read post]
28 Jun 2011, 4:03 am
Section 953(b) is the provision in Dodd-Frank that - once the SEC adopts related rules - will require companies to disclose in proxy statements and other filings the median of the annual total compensation of all employees of the issuer, excluding the CEO, the annual total compensation of the CEO and the ratio of the two. [read post]
21 Nov 2011, 4:15 am
- Corp Fin has finalized most of its required Dodd-Frank rulemakings that had a deadline. [read post]
25 Apr 2017, 8:17 pm
The first deals with the Orderly Liquidation Authority (OLA) provisions of Dodd-Frank, which in certain instances allow the Federal Deposit Insurance Corporation (FDIC) to undertake the receivership and liquidation of a large nonbank financial company (such as a bank holding company), rather than under the U.S. [read post]
20 Sep 2017, 1:50 pm
(Earlier this month, a Minnesota federal district court dismissed the CFPB’s Regulation E claims in a lawsuit targeting a bank’s overdraft protection program. [read post]
28 Jul 2011, 4:49 pm
The Bureau will consider specifically impacts on banks and credit unions with assets of $10 billion or less described in Section 1026 of the Act. [read post]
6 Dec 2022, 6:29 am
The most recent such report states: "The Dodd-Frank Act explicitly provides that Bureau funds obtained by or transferred to the CFPB are not government funds or appropriated funds. [read post]
25 Sep 2012, 12:22 pm
This is the same reason that in developing the Dodd-Frank whistleblower program, the U.S. [read post]
18 Nov 2016, 7:37 am
Cassin in the FCPA Blog JPMorgan Chase and a Hong Kong subsidiary agreed Thursday to pay $264.4 million to the DOJ, SEC, and Federal Reserve to resolve FCPA offenses for awarding prestigious jobs to relatives and friends of Chinese government officials to win banking deals. [read post]
8 Jul 2011, 7:49 am
During the time frame mentioned above, approximately 247 individuals mailed or wired money to Molz and he deposited those funds into JPMorgan Chase and Compass Bank accounts. [read post]
27 Nov 2023, 11:35 am
In its press release, the Treasury Department explains that Binance’s money laundering and sanctions violations involved violations of the Bank Secrecy Act (BSA) and multiple sanctions programs. [read post]
