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19 Dec 2024, 9:38 am
The Standard has been drafted to allow onboarding firms to continue to fully apply the UK’s Risk Based Approach to know-your-customer and provides more granular, documentary guidance for the practical implementation of the UK Money Laundering Regulations. [read post]
18 Feb 2010, 4:50 am
Marine Le Pen, vice president of the far-right National Front, argued that the restaurant's customers "are forced because of halal meat to pay a tax to Islamic organizations" that certify the food. [read post]
10 Jun 2018, 8:00 am
The whitelist deals were struck with companies including Royal Bank of Canada and Nissan Motor Co., who advertised on Facebook or were valuable for other reasons, according to some of the people familiar with the matter. [read post]
15 May 2019, 2:30 am
The CMA also recommended further work to consider the feasibility of extending Open Banking to savings, and collective switching. [read post]
5 Sep 2017, 12:27 pm
Camarco (Camarco), misappropriated over $2.8 million in investor funds from her clients and customers. [read post]
13 Feb 2007, 6:07 pm
Customers who shopped at TJMaxx, Marshalls and other company stores throughout the United States, Canada and Puerto Rico sometime in 2003 and 2006 may have had their personal private account data exposed to computer thieves. [read post]
3 Sep 2009, 9:32 am
This is the case even if the customer funded the interest reserve to provide credit enhancement. [read post]
28 Feb 2009, 7:53 am
The SEC also alleged that Stanford lied about its bank's certificate of deposits promising unbelievable rates of return. [read post]
26 Apr 2012, 6:40 pm
It is common for banks, for example, to lend at variable rates to commercial customers, and in connection with that loan, provide an interest rate swap so that the customer is able to achieve a fixed rate on the loan. [read post]
10 Nov 2014, 7:56 am
In May, an NYDFS “Report on Cyber Security in the Banking Sector,” for instance, identified “the industry’s reliance on third-party service providers for critical bank functions” as a “continuing challenge” and concluded that a financial “institution’s cyber risk level depends in large part on the processes and controls put in place by third parties. [read post]
3 Dec 2013, 6:50 am
On November 6, 2012, FINRA issued a written request to Brown to provide information and documents including information concerning investments sold to customers, bank statements, and tax returns. [read post]
3 Sep 2014, 7:35 am
Under FINRA Rules a person associated with a member who actively engages in the management of the member’s investment banking or securities business, including supervision, solicitation, conduct of business, or training of persons are designated as principals. [read post]
18 Jul 2017, 1:31 pm
Since August 2010 Brodt has been associated with Garden State Securities out of the firm’s Red Bank, New Jersey office location. [read post]
10 Jun 2015, 2:48 am
Sumption reasoned that it was not in itself objectionable that the respondent chose to enter into a transaction with an offshore bank. [read post]
22 Dec 2014, 4:22 am
Bank was sued in a series of class action lawsuits in which the claimants alleged that the bank had improperly charged overdraft fees to its customers and that it had misrepresented its overdraft fee policy. [read post]
23 Aug 2006, 9:36 am
were (and are, I assume) used to get into "secret" bank accounts in places like the Cayman Islands.The person (Doe in this case) was subpoenaed by a grand jury and told to sign a form that gave blanket consent to the bearer (FBI agents) to gain access to any and all bank accounts in his name. [read post]
6 Nov 2014, 11:08 am
The OCFI interviewed a sample of clients and examined whether certain former and current UBS Puerto Rico brokers either (i) recommended that, or (ii) permitted certain clients to, use non-purpose loans through UBS Bank USA to purchase securities in UBS brokerage accounts during the 2011-2013 period in violation of the customers’ loan agreements and UBS Puerto Rico policies. [read post]
18 Feb 2008, 8:15 pm
Stephen Boyd, a spokesman for Sessions, said the provision "is designed to protect banking institutions complying with post-9/11 security requirements from the abusive practices of patent trolling trial lawyers seeking personal enrichment, which ultimately will be paid for by checking account customers across America. [read post]
3 Aug 2010, 10:30 pm
For the large number of Chase customers with iPhones, being able to deposit a check while sitting at a desk or at home without having to drive to a bank branch or ATM and wait in line will be incredibly useful. [read post]
24 May 2011, 7:31 am
Leahy would immunize extra-contractual behavior by banks and big advertisers. [read post]
