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5 Feb 2008, 2:40 am
Matt Arnold, director of Sustainable Finance, which helped develop the Principles said, "There was a remarkable amount of debate and exchange of information and views among the banks, power companies and environmental organizations. [read post]
11 Oct 2017, 2:30 am
There has been published in the Official Journal of the EU (OJ), Commission Delegated Regulation (EU) 2017/1799 of 12 June 2017 supplementing MiFIR as regards the exemption of certain third countries’ central banks in their performance of monetary, foreign exchange and financial stability policies from pre- and post-trade transparency requirements. [read post]
15 Sep 2011, 11:46 am
A UBS exchange-traded-fund director has lost $2 billion of the firm’s money, raising questions about the bank’s proprietary trading and risk management systems just three years after it lost over $39 billion and had to be rescued by the Swiss National Bank. [read post]
22 Nov 2006, 4:48 am
U.S. buyout fund Lone Star Funds is close to terminating its $7.3 billion deal to sell Korea Exchange Bank to Kookmin Bank because of a prosecutors’ investigation into the deal, the Financial Times reported on Wednesday. [read post]
18 Sep 2007, 4:50 am
The bank launched the Goldman Sachs Tradable Unregistered Equity problem for trading offerings to institutional investors that do not require a registration with the Securities and Exchange Commission. [read post]
1 Dec 2010, 5:51 am
Going Easy: The Securities and Exchange Commission showed leniency toward Bank of America in penalizing the firm for securities law violations last year because the financially weakened bank was on taxpayer-backed life support, the Washington Post reports. [read post]
10 Jan 2015, 6:00 am
In December, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banking firms in response to allegations that their equity research analysts were involved in impermissibly soliciting investment banking business by offering their views during the pitch for the Toys “R” Us IPO (which was never actually completed). [read post]
10 Jul 2023, 10:00 pm
Access this practice note to review existing and proposed ESG disclosure requirements promulgated by the Securities and Exchange Commission and federal banking agencies, and explore recent regulatory developments around the identification and reporting of climate-related financial risks. [read post]
4 Feb 2010, 12:37 pm
” Separately, the Securities and Exchange Commission (SEC) announced that it had reached an agreement with Bank of America over the company’s decision to pay $3.6 billion of bonuses to former Merrill employees for fiscal year 2008. [read post]
3 May 2009, 5:38 pm
Securities and Exchange Commission (SEC), after the SEC had issued a civil complaint against Millennium Bank, a number of affiliates and individual participants, including William J. [read post]
27 Oct 2021, 3:13 pm
More importantly, commercial banks have lost a big part of their revenue because they are no longer doing the following: • Not issuing loans;• No money is transferred abroad by these banks;• Less interest from loans due to insolvency;• No money transfer commission;• No revenue from foreign currency exchange;• No revenue from salary withdrawal of the government employees because a huge number of civil servants have not received their salaries… [read post]
29 Feb 2016, 10:23 am
Grom (“Grom), a Deutsche Bank Securities, Inc. [read post]
10 Oct 2011, 11:43 am
Bank of New York Mellon has been accused of defrauding customers of its foreign exchange services. [read post]
15 Jul 2010, 1:19 pm
This just in: CNBC is reporting that the Securities & Exchange Commission and Goldman Sachs have settled the SEC's civil fraud suit against the bank. [read post]
22 Aug 2012, 6:15 pm
In a 17-page letter sent to the Securities and Exchange Commission on Wednesday, the bank slammed Nasdaq for its "mishandling" of the I.P.O. and its remedy. [read post]
4 Jun 2010, 7:19 am
Then in 1970, the New York Stock Exchange changed its rules to allow member firms to have a public float. [read post]
21 Sep 2021, 2:08 pm
USD cash was provided to the commercial banks and Foreign Exchange Dealers and Money Services Providers through an online auction procedure. [read post]
12 Aug 2021, 1:51 pm
The three founders, Arthur Hayes, Benjamin Delo, and Samuel Reed, were separately charged for a count of conspiracy and for a violation of the Banking Secrecy Act. [read post]
12 Aug 2021, 1:51 pm
The three founders, Arthur Hayes, Benjamin Delo, and Samuel Reed, were separately charged for a count of conspiracy and for a violation of the Banking Secrecy Act. [read post]
27 Apr 2009, 6:02 am
On March 25, 2009 the United States Securities Exchange Commission commenced a civil action in United States District Court in Northern Texas against the The Millennium Bank, and it principals, alleging violations of the securities laws of the U.S. [read post]
