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20 Oct 2017, 6:00 am
Banks that embrace innovation around their AML strategies stand to leapfrog the competition when it comes to stronger performance, growth and customer relationships. [read post]
19 Oct 2017, 6:46 pm
In such a framework, rules of International Economic Law (from WTO to the new EU Customs Code, from economic treaties to embargos) provides the setting into which the core contract are operationals. [read post]
19 Oct 2017, 7:00 am
Riksbanken [the Swedish Central Bank], in response to several demands from customers that “banks must handle cash”, clarified that banks are not legally obliged to accept cash. [read post]
18 Oct 2017, 9:20 am
There are all sorts of ways to get from the starting point to the movement of money through the banking system’s wire transfers to the end-game, the outlaw’s bank account. [read post]
16 Oct 2017, 11:09 am
Camarco reportedly was terminated by LPL Financial in August 2017for “depositing third-party checks from client accounts into a bank account she controlled and accessing client funds for personal use. [read post]
16 Oct 2017, 11:07 am
For support, DOJ cites a number of banking cases where courts allowed subpoenas to compel banks to produce foreign-held banking records. [read post]
16 Oct 2017, 10:54 am
The bank also failed to make sure brokers unloaded the products from customer accounts within 30 days, according to FINRA. [read post]
16 Oct 2017, 9:18 am
This case involved a customer service representation of the Royal Bank who was fired on a cause basis for alleged “falsification of bank records. [read post]
16 Oct 2017, 4:27 am
Arab Bank, in which the justices considered whether corporations are liable under the Alien Tort Statute, explaining that “the Justices seemed to be looking at the question in two steps: (1) whether customary international law permits corporate liability; and (2) assuming it does, whether the ATS cause of action should be interpreted to permit corporate liability. [read post]
13 Oct 2017, 11:38 am
The EU Commission confirmed unannounced inspections in “a few Member States” concerning online access to bank customer’s account data by competing service providers. [read post]
13 Oct 2017, 11:38 am
The EU Commission confirmed unannounced inspections in “a few Member States” concerning online access to bank customer’s account data by competing service providers. [read post]
11 Oct 2017, 10:49 am
For example, in Ohio, Ally Bank financed just 10 percent of GAP insurance where the dealer cost was $150 to $250 (chart 18) but it financed 74 percent of these same deals where the customer price exceeded $900 (chart 19). [read post]
11 Oct 2017, 10:45 am
Seepa’s bank accounts, passed to Eric by operation of law on Mrs. [read post]
10 Oct 2017, 12:30 pm
The Government expects 30% of customers to have electricity in about one month. 55% of water utility customers have water service. [read post]
10 Oct 2017, 8:00 am
StormHolding: A claim that a small business finance lender tortiously interfered with a contract and with the rights of a senior secured lender under the UCC could not be resolved on summary judgement because the lender had entered into a loan agreement with a customer despite having notice of the terms of an agreement between the customer and another lender, and questions of intentionality and collusion central to the plaintiff’s claims were questions of fact.Facts:… [read post]
10 Oct 2017, 7:55 am
Shortly thereafter on May 29, 2015, Gardner was arrested for converting approximately $1.3 million in client funds by selling promissory notes to clients and depositing the funds into his personal bank account. [read post]
Austin Dutton and Newbridge Securities Sanctioned By the State of Pennsylvania Over Securities Sales
10 Oct 2017, 7:54 am
According to a BrokerCheck report Dutton recommended the purchase of a security to at least one customer without reasonable grounds to believe that the transaction was suitable for the customer. [read post]
9 Oct 2017, 12:08 pm
” Even if a bank’s violations of federal consumer financial laws “are deemed not to technically constitute unsafe or unsound banking practices, it may still demonstrate a pattern of wrongdoing causing unacceptable harm to its customers, such that continuing to enable it to engage in the business of banking distorts the regulatory purpose of providing national banks charters, deposit insurance and other benefits. [read post]
9 Oct 2017, 11:32 am
The bill includes provisions that (1) prohibit a federal banking agency from (i) requesting or ordering a depository institution to terminate a specific customer account or group of customer accounts, or (ii) attempting to otherwise restrict or discourage a depository institution from entering into or maintaining a banking relationship with a specific customer or group of customers. unless the agency has a material reason for doing so and… [read post]
9 Oct 2017, 8:55 am
Key issues that we see arising across the industry are as follows: how credit institutions address the open access provisions under Regulation 105, particularly with regard to the language to be inserted into framework agreements to confirm: how consent is to be provided in respect of payment orders commenced via PISPs and AISPs; how consent is to be obtained from customers where ASPSPs receive a request from a PISP, AISP or a card-issuing servicing provider (CISP) to confirm available… [read post]
