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23 Jul 2007, 5:01 am
The jittery credit markets made investors sweat this week as the country's biggest banks reported second-quarter earnings. [read post]
New Proposed Trade Legislation Contains Additional Trade and Investment Restrictions Involving China
18 May 2018, 11:23 am
The Senate Banking Committee will mark up a FIRRMA draft on May 22, though the discussion draft does not include prior language that would have authorized CFIUS to review outbound investments for technology transfers that could harm U.S. national security. [read post]
6 Jun 2022, 8:09 am
On 1 June 2022, the European Central Bank (ECB) published an opinion on the proposed regulation amending the Markets in Financial Instruments Regulation as regards enhancing market data transparency, removing obstacles to the emergence of a consolidated tape, optimising trading obligations and prohibiting receiving payments for forwarding client orders. [read post]
22 Sep 2017, 7:42 am
View European Parliament and Council of EU decide not to object to MiFIR Delegated Regulation exempting certain third countries’ central banks from pre- and post-trade transparency, 21 September 2017 [read post]
21 Apr 2008, 2:44 pm
He also noted that similar trading in the stocks of other large investment banks has occurred. [read post]
1 May 2024, 11:14 am
Continue Reading › The post Non-Traded REIT Loss Lawyer appeared first on Investor Lawyers Blog. [read post]
17 May 2018, 12:45 pm
The bank was accused of misrepresentations, lies, deception, cheating, fraudulent trading practices, and concealing the fraud. [read post]
23 May 2012, 5:00 am
See Is Insider Trading Part of the Fabric?. [read post]
12 Jun 2012, 5:59 pm
In testimony prepared for a Senate Banking Committee hearing on Wednesday, Jamie Dimon sounded a note of contrition, but also emphasized the strength of the bank. [read post]
12 Jun 2012, 2:46 pm
In testimony prepared for a Senate Banking Committee hearing on Wednesday, Jamie Dimon sounded a note of contrition, but also emphasized the strength of the bank. [read post]
14 May 2021, 8:45 pm
On 13 May 2021, the FCA and the Bank of England (BoE) issued a statement supporting and encouraging market users and liquidity providers in the sterling exchange traded derivatives market to switch the default traded instrument to SONIA instead of LIBOR from 17 June 2021. [read post]
2 Dec 2020, 12:46 pm
On November 20, 2020, the Nevada Supreme Court handed banks a significant victory by agreeing with the Defendant bank’s interpretation of a Nevada statute concerning the application of statutes of limitation. [read post]
10 Jan 2011, 10:39 am
Morgan Stanley's in-house quantitative trading unit will become an independent firm, PDT Advisors, by the end of 2012 - as investment banks move to spin off such groups in the wake of Dodd-Frank. [read post]
26 Jul 2015, 9:12 pm
Trade alone, however, can only do so much. [read post]
21 Jul 2011, 9:35 pm
The AP reports the executives acknowledged the trading of the securities in the wake of the bankruptcy but denied that the trading was done with any non-public information. [read post]
15 Oct 2007, 1:43 pm
One Iowa bank recently consented to the issuance of an Order to Cease and Desist by the FDIC as a result of the bank's failure to comply with certain provisions under the Bank Secrecy Act ("BSA"). [read post]
6 Dec 2023, 8:20 pm
The latest issue of the Journal of World Investment & Trade (Vol. 24, no. 6, 2023) is out. [read post]
18 Jun 2007, 5:46 am
Community Banks of Harrisburg, Pennsylvania, issued a product recall of sorts on its first quarter financial statements via the filing of a non-reliance 8-K. [read post]
22 Jan 2024, 12:16 pm
According to FINRA, From June 2015 to August 2021, the bank’s brokerage unit sent about 2.27 million trade confirmations to customers that failed to disclose that for orders containing multiple executions trade prices reflected average prices, Finra said. [read post]
6 Dec 2014, 2:14 pm
Section 619, which codified the Volcker Rule, prohibits banks and their subsidiaries from engaging in proprietary trading as well as hedging or market-making activities that create client conflicts of interest or high risk exposures. [read post]
