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24 Jun 2019, 1:21 pm
On top of that, we’re in the midst of passing all this new regulation around FINRA and SEC where they’re calling it a best interest standard, but when you start to dive into the documents, its soft but the laws and regulations turns out that it really doesn’t protect the way that they had hoped or the general public would expect it to protect. [read post]
24 Jun 2019, 11:18 am
The U.S. standard for control lays out the ownership requirement to determine if a foreign entity is a CFC. [read post]
23 Jun 2019, 3:17 pm
Hamilton Bank of Johnson City, 473 U. [read post]
21 Jun 2019, 5:00 pm
Escobar went on to state that “The materiality standard is demanding. [read post]
21 Jun 2019, 9:04 am
Hamilton Bank (1985). [read post]
21 Jun 2019, 7:40 am
Standardized Haircuts. [read post]
21 Jun 2019, 3:05 am
Yesterday morning I blogged that the Senate Banking Committee had approved Allison Lee’s nomination as SEC Commissioner. [read post]
20 Jun 2019, 1:42 pm
FINRA Rule 2010 provides that [a] member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade, the AWC states. [read post]
20 Jun 2019, 3:13 am
Bloomberg reported that the Senate Banking Committee has approved her nomination – so it now goes to the Senate. [read post]
19 Jun 2019, 9:03 pm
” The member of the World Bank Group, Government of Japan, and Ingenierie Conseil Audit Formation (ICAF) hosted a one-day forum in Abidjan to discuss how international-standard food safety practices can support business growth, create jobs, and consumers in West Africa. [read post]
19 Jun 2019, 11:17 am
Two are short ETFs, 15 are in energy and commodity sector investments, one invests in Mexico, another in Spain, and the remaining are in European banks, according to Morningstar data. [read post]
19 Jun 2019, 8:26 am
Trustees Are Required to Ask Standard Questions at the 341 Meeting. [read post]
19 Jun 2019, 7:37 am
In 2015, the International Standards Organization mandated that banks switch over from the current six-digit Bank Identification Number to the new eight-digit BIN on all credit and debit cards. . . . [read post]
19 Jun 2019, 6:15 am
CLS Bank decision was good law that should not be abrogated. [read post]
18 Jun 2019, 9:36 pm
In September 2014, the banking agencies finalized Liquidity Coverage Ratio (LCR) rules, based on international liquidity standards for banks. [read post]
18 Jun 2019, 4:48 pm
Block is currently barred from the industry but was formerly employed by First Standard Financial Company LLC, National Securities Corp., and Oppenheimer & Company, among other brokerage firms. [read post]
18 Jun 2019, 1:25 pm
” First, the court found that the FTC’s calculation—based solely on bank records—was unreasonable. [read post]
18 Jun 2019, 7:53 am
However, asset management businesses within banking groups that are deemed significant are subject to consolidated application of standards and supervision and hence are also subject to the national implementation of the P&S at the entity-wide level. [read post]
18 Jun 2019, 7:24 am
Interested person have until 5 p.m. on Friday, July 26, to submit comments on a fiduciary standard rule proposal. [read post]
18 Jun 2019, 6:42 am
See also Amalgamated Bank v. [read post]
