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16 Feb 2021, 1:04 pm
Taxpayers that have $10,000 or more in a foreign bank account have long been required to file a foreign bank account report (or “FBAR”) on FinCEN Form 114. [read post]
8 Feb 2021, 4:01 pm
Because foreign banks are reliant on U.S. dollar funding but cannot borrow from the discount window, the Fed has also allowed foreign central banks to swap their currencies for U.S. dollars so that the central banks can lend those dollars to banks in their jurisdictions. [read post]
27 Jan 2021, 7:47 am
Treaty of Mutual Cooperation and Security apply to the Senkaku Islands (Mandarin: Diàoyú Dǎo) in the East China Sea. [read post]
25 Jan 2021, 8:50 pm
In particular, the updated MoU does not alter existing understandings between the SEC and the FCA in the area of enforcement and does not alter or supersede the 2006 SEC-Bank of England MoU. [read post]
22 Jan 2021, 12:00 am
Expenses incurred during an estate administration, such as attorneys’ fees, accountant fees, court costs, and bank fees are deductible against the income of the estate. [read post]
19 Jan 2021, 8:16 am
A brokerage firm or broker-dealer is in the business of buying and selling securities- stocks, bonds, mutual funds and certain other investment products on behalf of its customer for its own bank. [read post]
18 Jan 2021, 8:45 am
The firm alleged that he created fictitious account statements for clients and deposited client money into his own bank accounts. [read post]
16 Jan 2021, 10:57 pm
Elements of a Contract A contract is a legally enforceable promise – that is, a manifested intention to act or refrain from acting in a specified way as a commitment to the other party.[5] A contract requires a manifestation of mutual assent between the parties to some bargained-for exchange (known as consideration).[6] The manifestation of mutual assent can be oral or in writing, or even inferred through conduct which may include beginning or completing performance.[7] If a… [read post]
15 Jan 2021, 1:48 pm
VALIC Financial Advisors – Finally, in another large settlement involving financial advisors, VALIC Financial Advisors paid $40 million to resolve SEC charges that deliberately steered clients to more expensive mutual funds for which VFA received both 12b-1 fees and revenue sharing from the clearing broker, while also receiving advisory fees from its clients and telling those clients those fees would cover execution costs. [read post]
15 Jan 2021, 12:52 am
NIS2 provides more detail than the current law on what constitutes a “main establishment”, and provides for authorities to provide mutual assistance in cross-border cases. [read post]
14 Jan 2021, 12:11 pm
In August, BlackRock received official approval from the Chinese government to set up a mutual fund business in Shanghai. [read post]
14 Jan 2021, 6:19 am
If, for example, the bank robber shot the customer to settle an old personal grudge, then the other bank robbers couldn’t be charged with felony murder. [read post]
12 Jan 2021, 4:10 pm
Whether a common law marriage exists depends on a couple’s “mutual consent … to enter the legal and social institution of marriage, followed by conduct manifesting that mutual agreement. [read post]
12 Jan 2021, 10:14 am
The law has played a major role in governments’ responses to the Covid-19 pandemic. [read post]
11 Jan 2021, 1:31 pm
., Chp IV.2; "Confronted by acute global challenges, no country can achieve lasting stability and development without solidarity, cooperation, and a partnership featuring peaceful and mutually beneficial cooperation, equality, openness, inclusiveness and shared growth" (ibid., conclusion). [read post]
11 Jan 2021, 8:19 am
Key Findings Introduction Tax Elements General Design Considerations — Taxing Data Processing — Taxing Financial Transactions — Taxing Traders Conclusion Key Findings: A financial transaction tax (FTT) would raise transaction costs, which would result in a lower trading volume, lower liquidity, potentially increased volatility, and lower price of assets. [read post]
7 Jan 2021, 11:53 am
February 2019 – FINRA Sanctions Kestra Financial for Mutual Fund Overcharges FINRA censured and fined Kestra Financial $225,000 and the firm had to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors over a nine-year period. [read post]
2 Jan 2021, 2:04 pm
Broker-dealers, banks, mutual funds and futures commission merchants and introducing brokers (“covered companies”) must establish and maintain risk-based customer identification programs (“CIP”) that include procedures that will enable the covered company “to form a reasonable belief that it knows the true identity of each customer. [read post]
30 Dec 2020, 9:25 am
The regulator further alleged that Pruco failed to disclose it was receiving revenue share payments from the clearing firm for the sales of certain bank sweep products and it failed to comply with best execution rules by recommending mutual fund share classes over share classes of the same funds with better value or performance. [read post]
30 Dec 2020, 8:37 am
Overall, what this leads to is a patch work of access rights across banking and investment business. [read post]
