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1 Apr 2019, 7:54 am
UBS is one of a number of brokerage firms that touted the YES approach to customers as a way to make money via the “strategic” buying and selling of SPX index options spreads. [read post]
1 Apr 2019, 6:00 am
BHPH dealers are usually their own bank for holding the notes and collecting, and skirt the financial disclosure regulations in the process and in the re-titling of repos. [read post]
31 Mar 2019, 10:11 am
She had been detained at the request of US officials on allegations of subverting Western sanctions against Iran and participating in bank fraud and corporate espionage. [read post]
31 Mar 2019, 10:11 am
She had been detained at the request of US officials on allegations of subverting Western sanctions against Iran and participating in bank fraud and corporate espionage. [read post]
29 Mar 2019, 12:01 pm
Ramirez-Arone, also called Jose Ramirez and known by many on the island of Puerto Rico as “The Whopper,” pleaded guilty to bank fraud last year. [read post]
29 Mar 2019, 7:34 am
ISDA Agreements typically cover all over-the-counter derivatives transactions between a bank and its counterparty. [read post]
27 Mar 2019, 2:33 pm
He signed both messages with his name and title as “Vice President – Investment Banking. [read post]
27 Mar 2019, 11:52 am
Your estate is everything that you own; real estate, bank accounts, investments, possessions. [read post]
27 Mar 2019, 11:21 am
The practice of “pre-release” allows ADRs to be issued without the deposit of foreign shares, provided brokers receiving them have an agreement with a depositary bank and the broker or its customer owns the number of foreign shares that corresponds to the number of shares the ADR represents. [read post]
27 Mar 2019, 2:32 am
The company also encouraged potential customers to make credit decisions only after careful consideration. [read post]
26 Mar 2019, 8:49 am
The solid waste industry serves a dynamic market and the NJDEP must continually evaluate the market to ensure that there are multiple companies serving the customers in each market. [read post]
26 Mar 2019, 7:26 am
On 26 March 2019, the Dutch Central Bank (De Nederlandsche Bank, DNB) announced that in 2019 it will conduct follow-up research to come up with a supervisory approach that aligns with the possibilities and risks of ‘Insurtech’ (technological innovation in the insurance sector). [read post]
26 Mar 2019, 3:58 am
It brings you customers. [read post]
25 Mar 2019, 3:06 pm
There are likely to be some areas where the legal risks relating to the ongoing servicing of existing customers have not been fully mitigated. [read post]
22 Mar 2019, 8:55 am
The practice of “pre-release” allows ADRs to be issued without the deposit of foreign shares, provided brokers receiving them have an agreement with a depositary bank and the broker or its customer owns the number of foreign shares that corresponds to the number of shares the ADR represents. [read post]
22 Mar 2019, 3:56 am
Regarding residual risks which still may arise from Brexit, the FCA notes that: UK and global banks are transferring activities to EU-incorporated entities, but are to some extent dependent on their clients agreeing to move contracts to these new entities, and the FCA is aware there is varying progress with this; the process of migrating businesses, assets and contracts in a short period could pose operational risks; there is the issue of contract continuity. [read post]
22 Mar 2019, 1:05 am
Mainly because the appropriate cover is not available, and indeed insurers may void cover if their customers are involved in short term letting. [read post]
21 Mar 2019, 9:01 pm
”A new institutional focus: “New Wells Fargo structure focuses on customer experience ‘Change for the Better. [read post]
21 Mar 2019, 3:00 am
“The bank has made a fool out of shareholders, customers and the entire Danish population,” shareholder Nanna Bonde said. [read post]
20 Mar 2019, 9:24 am
CLS Bank Int’l, 573 U.S.208, 217 (2014). [read post]
