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30 Jan 2018, 1:38 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/3804/securities-industry-commentator/ In today’s Securities Industry Commentator feed: CFTC Orders Deutsche Bank Securities Inc. to Pay $70 Million Penalty for Attempted Manipulation of U.S. [read post]
9 Oct 2019, 7:22 am
Cannabis Businesses Need Banking Partners The reason so many are so committed to seeing this bill pass though, is a real need exists for banking within the cannabis industry. [read post]
19 Aug 2011, 2:57 am
Deutsche Bank has set up an asset management section called “Deutsche Bank Climate Change Advisors” that is investing in climate change related industries. [read post]
10 Mar 2010, 11:44 am
The fees are big money-makers for the banking industry, though, which now has to adjust to a new era of regulation. [read post]
4 Jul 2020, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5313/securities-industry-commentator/Wells Fargo tells new clients they need $1 million in balances for certain mortgage refinancings (CNBC by Hugh Son)Wells Fargo Readying Thousands of Job Cuts to Start in 2020 (CNBC by Hannah Levitt)FORMER BANK EXECUTIVE SENTENCED FOR USING BANK FUNDS FOR LUXURY VACATIONS AND OTHER… [read post]
22 Apr 2012, 12:37 pm
In a letter to the SEC, the industry group said that it was an oversight that community thrifts and thrift holding companies with less than 2,000 shareholders were not included in the legislation, particularly since there is no compelling reason to treat them differently from banks and bank holding companies under the law.Thrifts and thrift holding companies are really banking institutions, reasoned the industry group, since they make… [read post]
27 Dec 2018, 8:44 am
The report, titled, “State-backed Financial Institution (Public Bank) for the State of California Servicing the Cannabis Industry Feasibility Study 2018,” explains why such a move would pose potentially insurmountable challenges. [read post]
28 May 2010, 11:16 am
Problem banks are those with "financial, operations or managerial weaknesses that threaten continued financial viability. [read post]
9 Mar 2008, 9:42 am
[JURIST] Zimbabwean President Robert Mugabe [BBC profile; JURIST news archive] has signed into law a bill [text; BBC backgrounder] requiring key industries, like mining and banking, to be controlled by local owners, a government newspaper reported on Sunday. [read post]
8 Sep 2013, 5:26 am
This post addresses the end of the Dodd-Frank Act moratorium on the ability of "commercial firms" to acquire FDIC-insured banks that are excluded from the definition of "bank" in the Bank Holding Company Act: industrial banks (or "ILCs," as they are commonly labeled) and credit card banks. [read post]
27 Nov 2012, 4:50 am
Here is the abstract: This article examines the principal legal, policy, and theoretical implications of a transformative – but so far unrecognized – change in the banking industry: the emergence, over the last decade, of U.S. financial conglomerates as leading global merchants in physical commodities, including crude and refined oil products, natural gas, coal, base metals, and wholesale electricity. [read post]
14 Dec 2019, 10:48 am
The Sterbcow Law Group hopes the FDIC will in the future provide more detail in its enforcement actions in order to help provide more clarity to the real estate and mortgage industry. [read post]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
8 Dec 2020, 6:34 am
We are hopeful that eventual legislation will not stifle innovation, which is a key reason we encourage industry stakeholders to continue engaging with legislators at a state and federal level. [read post]
30 Mar 2009, 11:29 pm
Yesterday, I analyzed the differential treatment of the banking and automobile industry. [read post]
31 Dec 2014, 4:22 pm
The article is a first principles reexamination of the industrial organization of financial services. [read post]
9 Nov 2022, 5:49 am
Key points in the speech include: How did a small corner of the pensions industry threaten financial stability? [read post]
13 Dec 2023, 3:06 pm
Certain federal agencies regulate the banking industry, such as the Federal Deposit Insurance Corporation. [read post]
31 Mar 2016, 7:53 pm
The OCC also seeks feedback on a series of questions about how to facilitate responsible innovation; how the agency can streamline its processes for evaluating innovative products, services and processes; how it can promote open dialogue with industry stakeholders; and, what additional tools and resources could assist national banks and federal savings associations with regard to innovation…” [read post]
20 Feb 2008, 3:36 am
The Korean bank industry and other service industries will never improve until they realize that foreigners are a needed component for the future development of the local economy. [read post]
