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6 Sep 2012, 9:21 am
Most recently, on July 9, 2012 the NFA disclosed that about 95%, or $220 million, of customer funds were “missing” from a segregated account that futures brokerage PFGBest (formerly Peregrine Financial Group) maintained at US Bank. [read post]
8 Jun 2011, 12:37 pm
Although banks with less than $10 billion in assets are exempt from the caps, from a competitive standpoint, most small banks believe they will have to reduce fees to be in a position to compete with bigger banks for customers. [read post]
2 Mar 2012, 11:04 am
While "das Volk" twist themselves into hernia-inducing pretzels of rage over banks raising fees on checking accounts and/or continuing to impose overdraft fees when a customer "overdrafts," the repercussions of Dodd-Frank ensure that such additional fees (or others) are on their way--like it or not. [read post]
8 Jul 2020, 3:55 am
The customers knew exactly what they were paying for. [read post]
22 Jun 2012, 11:00 am
Don’t worry about stopping the bank robbery. [read post]
15 Jun 2011, 7:36 am
It adds a new Chapter 4 to the Internal Revenue Code, essentially requiring foreign financial institutions to identify their customers who are U.S. persons or U.S. [read post]
2 Apr 2012, 6:26 pm
Under the recent Cherryland decision, a legislative modification would abrogate a contract right between parties which was never existing under traditional custom and usage in the industry. [read post]
29 Aug 2016, 1:02 pm
Customer information refers to all nonpublic personal information about a financial institution’s customers. [read post]
1 Mar 2021, 8:04 am
” “New Zealand’s central bank reported some of its files stolen in the attack… ‘Accellion failed to notify the bank for five days that an attack was occurring against its customers around the world, and that a patch was available that would have prevented this breach,’ bank Governor Adrian Orr said in a Feb. 9 statement. [read post]
22 Jun 2017, 11:37 am
Chamber of Commerce announced that a consortium of more than two dozen chamber member companies, including prominent big banks, big-box retailers, and technology giants released a set of principles designed to promote fair and accurate cybersecurity ratings. [read post]
8 Oct 2010, 10:16 am
But neither restores customer trust. [read post]
23 Apr 2019, 1:17 pm
Powers also openly stated that he would assist customers in circumventing AML laws. [read post]
22 Jun 2017, 11:37 am
Chamber of Commerce announced that a consortium of more than two dozen chamber member companies, including prominent big banks, big-box retailers, and technology giants released a set of principles designed to promote fair and accurate cybersecurity ratings. [read post]
12 Aug 2022, 7:24 am
Pursuant to the Gramm-Leach-Bliley Act, the FTC and federal banking agencies have promulgated rules and interagency guidelines requiring financial institutions to establish appropriate administrative, technical, and physical safeguards to protect the security and confidentiality of customer information. [read post]
17 Apr 2023, 5:57 am
” The Court noted it had never upheld that “clean hands” constitutes custom or general principle of law, and that it considers the doctrine with caution. [read post]
10 May 2007, 11:33 pm
He sees it as a more efficient way for customers to have their claims addressed. [read post]
7 Dec 2023, 8:33 am
Requirements for CTPs to notify the regulators, as well as the CTP’s firm and FMI customers that receive an affected service, of certain incidents. [read post]
3 Aug 2009, 9:38 am
So far, Raymond James has shown no interest in redeeming customers' holdings. [read post]
7 Apr 2016, 1:44 pm
Attributing observed deficiencies to a lack of a culture of compliance, FinCEN has again targeted a casino for willful violations of the anti-money laundering (“AML”) provisions of the Bank Secrecy Act (“BSA”). [read post]
9 Oct 2008, 2:01 pm
This is not new news as being in New York we started to feel the real economic impact in mid-September as Lehman melted down and as Merrill Lynch was bailed out by Bank of America. [read post]
