Search for: "Capital Bank"
Results 5041 - 5060
of 15,530
Sort by Relevance
|
Sort by Date
15 Dec 2017, 1:02 pm
FINRA Firms & Brokers, Fined & SanctionedNoble Capital Markets, Inc. fka Noble Financial Capital Markets (CRD® #15768, Boca Raton, Florida) and Nicolaas Petrus Pronk (CRD #1726101, Lighthouse Point, Florida) Without admitting or denying the allegations, the firm and Pronk consented to the sanctions and to the entry of findings that they recommended and sold nearly a million shares of a company’s common stock to customers without disclosing the firm’s… [read post]
15 Dec 2017, 9:01 am
Under the Custody Rule, if a registered investment adviser has custody of “client funds or securities”, then it must maintain those client assets with a qualified custodian (generally a bank, broker-dealer, FCM or other financial institution), subject to certain exceptions. [read post]
15 Dec 2017, 9:01 am
Under the Custody Rule, if a registered investment adviser has custody of “client funds or securities”, then it must maintain those client assets with a qualified custodian (generally a bank, broker-dealer, FCM or other financial institution), subject to certain exceptions. [read post]
15 Dec 2017, 8:25 am
TGS Baltic – Estonia Martin Tamme Email: Martin.Tamme@tgsbaltic.com Telephone: +372 503 5380 Practice Groups: M&A and Corporate, Finance & Capital Markets, Litigation & Arbitration, Regulatory & Competition, Real Estate and Tax Sander Kärson Email: sander.karson@tgsbaltic.com Telephone: +372 515 1115 Practice Groups: Mergers & Acquisitions, Private Equity & Venture Capital, Corporate Law, Employment, Healthcare & Life science,… [read post]
15 Dec 2017, 8:07 am
Anyway, the Latin American Herald Tribune (owned and published by Russ Dallen, who also runs investment bank Caracas Capital) asked the federal judge in Delaware to unseal documents related to the settlement, and the judge agreed. [read post]
15 Dec 2017, 7:05 am
Senior executives summoned to testify before Congress invoked their right against self-incrimination, and the firm is resisting a congressional subpoena for bank records that would reveal who has paid for its services. [read post]
15 Dec 2017, 7:05 am
Senior executives summoned to testify before Congress invoked their right against self-incrimination, and the firm is resisting a congressional subpoena for bank records that would reveal who has paid for its services. [read post]
15 Dec 2017, 6:13 am
CoCo Insurance and Bank Fragility Posted by Wei Jiang (Columbia University), on Friday, December 8, 2017 Tags: Bailouts, Banks, Capital requirements, Contracts, Convertible bonds, Credit default swaps, Credit risk, Debt contracts, Equity capital, Financial crisis, Financial institutions, Incentives, Insurance, Risk-taking Excluding Shareholder Proposals Based on New SLB 141 Posted by… [read post]
14 Dec 2017, 6:58 am
“This is a fantastic fundamental hedge and store of value against autocratic regimes and banking infrastructure that we know is corrosive to how the world needs to work properly,” said Chamath Palihapitiya, the founder of Social Capital and an early Bitcoin investor. [read post]
13 Dec 2017, 8:55 am
Benevolent Credits (four-year cycle) Affordable Housing Tax Credit Contributions to Domestic Violence Victims Shelter Tax Credit Disabled Access Tax Credit Development Disability Care Provider Tax Credit Family Development Account Tax Credit Missouri Health Care Access Fund Donation Tax Credit Residential Treatment Agency Tax Credit Senior Citizens Property Tax Relief Tax Credit Shared Care Tax Credit Special Needs Adoption Tax Credit Youth Opportunities and Violence Prevention Tax Credit Economic… [read post]
12 Dec 2017, 4:36 pm
” This week the SEC filed an administrative action against a California-based company selling digital tokens to investors to raise capital for its block chain-based food review service. [read post]
12 Dec 2017, 9:57 am
Neither defendant is a national bank. [read post]
12 Dec 2017, 9:57 am
Neither defendant is a national bank. [read post]
12 Dec 2017, 9:05 am
PS29/17 is relevant to UK banks, building societies, PRA-designated investment firms and qualifying parent undertakings to which the Recovery Planning Part of the PRA Rulebook applies. [read post]
11 Dec 2017, 1:54 pm
The communication sets out deadlines for completing certain initiatives including a number of financial services measures relating to the capital markets union, as well as banking reforms. [read post]
11 Dec 2017, 5:55 am
The Commission notes that EU implementation would require amendments to current EU banking regulations, including the EU Capital Requirements Regulation (CRR). [read post]
10 Dec 2017, 6:28 am
Academics and policy makers have proposed several reasons for undesirably high levels of risk taking, including flawed compensation practices (Krugman 2009), poor corporate governance (Freixas and Dewatripont, 2012), and low capital requirements (Admati and Hellwig, 2013). [read post]
9 Dec 2017, 2:31 pm
., expensing for capital investments, which the bills have on top of the passthrough rules).What if employees save, and the bank loans the money to people who want to found or expand their businesses? [read post]
9 Dec 2017, 12:00 am
For more information, visit Medina Law Group or Private Client Capital Group. [read post]
8 Dec 2017, 8:51 am
Palestinian protesters clashed with Israeli security forces on Thursday as people in the West Bank and Gaza reacted to President Donald Trump’s recognition of Jerusalem as Israel’s capital on Wednesday, the Wall Street Journal reported. [read post]
