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2 Nov 2023, 9:01 pm
In fact, Bank of England economists found that that regime saves end users millions of dollars per day.[6] I believe aligning the SEC’s regime closely with the CFTC’s garners many of the same benefits—bringing together buyers and sellers with transparent, pre-trade pricing. [read post]
2 Nov 2023, 9:04 am
A financial institution subject to customer due diligence requirements, with the consent of the Reporting Company, to facilitate the financial institution’s compliance with customer due diligence requirements under applicable law. [read post]
2 Nov 2023, 7:49 am
"... throughout the dozens of accounts, banks and family members identified by House investigators. [read post]
2 Nov 2023, 6:36 am
Morgan Securities LLC (CRD#:79), and Deutsche Bank Securities Inc. [read post]
2 Nov 2023, 5:02 am
Global firms should have a cross-border coordinated response strategy, including with regards to communications with regulators and customers. [read post]
2 Nov 2023, 4:06 am
Global firms should have a cross-border coordinated response strategy, including with regards to communications with regulators and customers. [read post]
2 Nov 2023, 3:00 am
Here is the column: In the classic holiday film, It’s a Wonderful Life, the Bailey Brothers Building & Loan Association faced a run on the bank by customers spooked by rumors of theft and insolvency. [read post]
1 Nov 2023, 9:00 pm
Losing good standing can result in the following consequences: The state will not issue the LLC a certificate of good standing, which may be required to open a business bank account, set up customer payment processing, apply for a business line of credit, expand into other states, or file and maintain lawsuits on behalf of the business. [read post]
1 Nov 2023, 7:46 pm
What makes a company treat you like a customer, and not the product? [read post]
1 Nov 2023, 2:40 pm
On 30 October 2023, the U.K. [read post]
1 Nov 2023, 11:41 am
The Customer Due Diligence and client screening under Section 326 of the Patriot Act, as well as transaction monitoring and reporting requirements (that should result in suspicious activity monitoring and reporting mandated by Section 356 of the Patriot Act[25]). [read post]
1 Nov 2023, 8:46 am
Under the Federal Trade Commission’s (“FTC”) new amendment to the Safeguards Rule (the “Amended Rule”), non-banking financial institutions will have to report certain data breaches and other security events to the agency. [read post]
1 Nov 2023, 8:28 am
The findings stated that FINRA sent a request to Smith to produce information and documents, including bank and brokerage account statements. [read post]
31 Oct 2023, 12:00 pm
As expected, the new provisions require non-bank financial institutions to provide notice to the FTC of data incidents meeting certain thresholds and detail the trigger for, and content and timing of, the notice. [read post]
31 Oct 2023, 10:49 am
The FCA joins MAS, Singapore’s central bank, the Financial Services Agency of Japan and the Swiss Financial Market Supervisory Authority as part of the project. [read post]
31 Oct 2023, 10:46 am
How much money customers at the 14 major UK banks lost to APP fraud for every million pounds they sent and how many APP fraud payments there were per million transactions sent. [read post]
31 Oct 2023, 6:44 am
””When the firm’s finance team represented a bank as an underwriter, for example, its arbitration practice had to bow out of disputes in which the bank had been involved as a lender but was no longer a party. [read post]
31 Oct 2023, 6:30 am
As expected, the new provisions require non-bank financial institutions to provide notice to the FTC of data incidents meeting certain thresholds and detail the trigger for, and content and timing of, the notice. [read post]
31 Oct 2023, 6:14 am
What makes a company treat you like a customer, and not the product? [read post]
30 Oct 2023, 11:00 pm
Bank Partnerships with Fintech Companies Access key information on the Bank-Fintech partnership model, regulatory considerations, and risks and recommendations to mitigate risk for banks and fintech companies. [read post]
