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27 Jan 2008, 2:37 pm
[JURIST] French authorities on Sunday ordered alleged "rogue trader" Jerome Kerviel [BBC backgrounder] to be held for an additional 24 hours while police investigate the $73 billion worth of unauthorized trades Kerviel made while working for the French bank Societe Generale [bank website]. [read post]
29 Sep 2011, 11:46 am
On September 15, Americans awoke to news that a rogue 31-year-old UBS trader, Kweku Adoboli, had sustained losses of over $2 billion for UBS's investment banking arm through "unauthorized trades. [read post]
12 Jun 2012, 11:14 am
Federal prosecutors filed a one-count information against the bank, represented by Sullivan & Cromwell, for conspiracy to violate the International Emergency Economic Powers Act and the Trading with the Enemy Act. [read post]
16 Apr 2013, 1:52 am
I mentioned above that during the period February to April 2010, 49 banks closed, but of those 49 bank failures, 23 occurred in April 2010 alone (a very busy month for bank failures). [read post]
10 Nov 2021, 8:40 pm
Some of the key legal uncertainties identified in the paper concern: the definition of core services, the meaning and ambit of ring-fencing transfer schemes, excluded activities not subject to the regime, the prohibition on incurring exposures to a range of financial institutions and exceptions to it, liquidity management for ring-fenced banks, the identification of the ‘account holder’, tax exposures and the application of the regime to… [read post]
23 Dec 2011, 1:10 pm
The Dodd-Frank Act requires the regulators to implement prohibitions and restrictions on the ability of bank and non-bank financial companies to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.In Release No. 34-66057, the SEC noted that the extension of the comment period is appropriate due to the complexity of the issues involved and the variety of considerations involved in… [read post]
29 Jun 2009, 4:08 pm
In an important case for state regulators, the Supreme Court held (5-4), in Cuomo v.Clearing House, that the federal Comptroller of the Currency's regulation under the National Bank Act purporting to pre-empt state law enforcement is not a reasonable interpretation... [read post]
7 Dec 2011, 9:31 pm
Arvind Subramanian (International Monetary Fund) & Aaditya Mattoo (World Bank) have posted China and the World Trading System. [read post]
19 Jan 2012, 11:34 am
Securities and banking trade groups have responded to a Department of Labor request for assistance in developing an expanded regulatory impact analysis of a proposed change to the DOL’s long-standing definition of fiduciary. [read post]
26 Jun 2023, 9:01 pm
Under the Bank Merger and Bank Holding Company Acts, the federal banking agencies are the primary authorities on bank merger review. [read post]
21 Oct 2009, 10:50 am
Instead of charging the interest rate at the time of the trade, State Street instead charged the highest rate of the day. [read post]
9 Jan 2013, 6:47 pm
Bank of America’s common stock declined in value by only 8 cents per share in trading following the announcement of the more than $20 billion in settlements, suggesting that the prospect of settlements of this magnitude was already largely reflected in the share price. [read post]
9 Dec 2008, 3:52 pm
The recent declines in terms of trade, real income growth, and confidence are prompting more cautious behaviour by households and businesses. [read post]
1 Nov 2019, 5:49 am
Cohen has worked with Citigroup Global Markets Inc. since February 19, 2019 under the umbrella of Citi Retail Banking in Glen Head, New York, and Citi Retail Banking in Glen Cove, New York, according to Cohen’s FINRA BrokerCheck Report. [read post]
1 Nov 2019, 5:49 am
Cohen has worked with Citigroup Global Markets Inc. since February 19, 2019 under the umbrella of Citi Retail Banking in Glen Head, New York, and Citi Retail Banking in Glen Cove, New York, according to Cohen’s FINRA BrokerCheck Report. [read post]
10 Mar 2009, 2:59 am
Law360 is reporting that the U.S. investment and securities arm of Germany's Deutsche Bank is suing a former employee it claims stole confidential information and poached two assistants when he took a job with rival Morgan Stanley on Friday.This suit comes close on the heels of a suit filed by Merrill Lynch against Deutsche Bank for poaching 12 senior bankers from Merrill Lynch: [www.bloomberg.com].Deutsche Bank Securities Inc. filed a complaint in the U.S. [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]
25 Sep 2007, 4:30 pm
The Manual is used in connection with examinations of supervised financial institutions.The revised version is based on feedback from the banking industry and examination staff. [read post]
1 Dec 2008, 5:51 pm
From the WSJ law blog, it looks as though the impact of trade is becoming a little more personal for us lawyers: The WSJ reports today that outsourcing legal work to India continues to be a booming business. [read post]
24 Feb 2011, 8:46 am
They denied me (and others) without any notice at their next board meeting (after making me resend the damn thing because I needed a special medallion signature stamp from my bank!). [read post]
