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6 Aug 2023, 6:33 am
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
16 Mar 2023, 1:57 pm
The complaint also does not mention that on the news of the bank’s access to the lifeline, the company’s share price on the Zurich stock exchange rose more than 19%. [read post]
17 Jul 2012, 5:19 am
BATS, based in Kansas City, is owned by the nation’s largest banks. [read post]
8 Feb 2017, 10:33 am
The Committee approved the chairman’s legislation on a party-line vote near the end of the last Congress The Financial Choice Act allowed large banks to be exempt from several regulatory standards in exchange for maintaining a capital ratio of at least 10 percent of their total assets. [read post]
20 May 2009, 7:25 am
Banking. [read post]
4 Nov 2019, 9:04 am
Excludes international exchange fees. [read post]
11 Sep 2013, 8:15 am
Calling on all other jurisdictions to join them by the earliest possible date, the G20 committed to automatic exchange of tax information as the new global standard, which must ensure confidentiality and the proper use of the information exchanged. [read post]
4 May 2010, 9:36 am
National Australia Bank. [read post]
22 Feb 2010, 10:22 am
[JURIST] A judge in the US District Court for the Southern District of New York [official website] on Monday accepted [opinion, PDF] a $150 million dollar settlement agreement between the Securities and Exchange Commission (SEC) [official website] and Bank of America (BOA) [corporate website]. [read post]
9 Jul 2007, 6:23 am
Alliance Bank, Kazakhstan’s largest retail lender, has priced a secondary stock offering at $14 to $17.30 per global depository receipt that will mark its opening on the London Stock Exchange, The Financial Times reported. [read post]
6 May 2013, 11:26 am
In an e-mailed statement, Bitfloor's legal counsel blamed the delay on a dispute with the firm's bank. [read post]
4 Aug 2023, 9:13 am
On 4 August 2023, the European Central Bank and the Single Resolution Board announced that they had signed a Memorandum of Understanding on the exchange of certain types of confidential statistical information, in order to improve analysis related to bank resolution. [read post]
23 Feb 2018, 9:12 am
However, this case was decided in ignorance of the Court of Appeal’s earlier decision in United Bank Ltd v Asif (unreported) 11 February 2000 (“United Bank”). [read post]
27 Sep 2019, 9:32 am
The Volcker Rule prohibits “banking entities” (generally, insured banks and their affiliates, and non-US banks with US banking operations) from engaging in proprietary trading or sponsoring or investing in private equity funds. [read post]
6 Aug 2009, 11:39 am
Although Bank of America has agreed to settle charges by the Securities and Exchange Commission that the broker-dealer misled investors about Merrill Lynch bonuses worth billions of dollars, a federal judge is withholding approval for the $33 million penalty. [read post]
5 Jan 2017, 8:09 am
See: "Five Major Banks Agree to Parent-Level Guilty Pleas / Citicorp, JPMorgan Chase & Co., Barclays PLC, The Royal Bank of Scotland plc Agree to Plead Guilty In Connection With The Foreign Exchange Market and Agree to Pay More Than $2.5 Billion In Criminal Fines" (Press Release, United States Department of Justice / Antitrust Division, 15-643, May 20, 2015).READ FULL TEXT PLEA AGREEMENTS:BarclaysCiticorpJPMorgan ChaseRoyal Bank of ... [read post]
3 Jun 2020, 12:28 pm
The post UBS Pulls ETRACS Exchange-Traded Note (ETN) Off Market as Value Plunges to Near Zero appeared first on Zamansky LLC. [read post]
4 Jan 2008, 11:56 pm
According to the DIFC website, participants will enjoy "zero tax rate on income and profits, 100 per cent foreign ownership, no restrictions on foreign exchange or capital/profit repatriation, operational support and business continuity facilities. [read post]
21 May 2014, 5:20 am
The Securities and Exchange Commission, the Justice Department, and State and Federal banking regulators can either elect civil process or criminal process to rein-in bankers. [read post]
9 Mar 2011, 5:09 pm
Several prominent politicians, including some with the power to veto the deal, have been openly skeptical or noncommittal. [read post]
