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2 Jan 2019, 8:14 am
Since the financial crisis, investors have wailed at the lack of brisk trading in bond markets after primary dealers were forced to cut back on their inventory of fixed-income securities under new regulatory provisions designed to make the banking system safer. [read post]
2 Jan 2019, 6:02 am
The second letter, issued jointly by the Division of Clearing and Risk and the Division of Swap Dealer and Intermediary Oversight, permits FCMs that are Eurex clearing members to deposit customer-owned securities as margin collateral for swap transactions with Clearstream Banking AG, a German central securities depository (CSD). [read post]
2 Jan 2019, 2:00 am
Data privacy and security. [read post]
1 Jan 2019, 11:39 am
SCOV first looks at various provisions of the policy to suss out what is and isn’t covered. [read post]
31 Dec 2018, 1:04 pm
The post Big Banks End 2018 Holding At Least $1.6B of Unsold Loans Involving Leveraged Buyout Debt appeared first on Securities Fraud Attorney. [read post]
31 Dec 2018, 12:10 pm
The Working Group held its first meeting in January of this year. [read post]
31 Dec 2018, 9:52 am
(CRD #10083) of Red Bank, NJ, Spartan Capital Securities, LLC (CRD #146251) and Portfolio Advisors Alliance, Inc. [read post]
31 Dec 2018, 7:50 am
The first SaaS platform in family law that streamlines the collection, organization and analysis of case data with secure digital collaboration. [read post]
31 Dec 2018, 6:35 am
Continue Reading › The post How ADR Abuse Can Lead to Investment Fraud appeared first on Securities Fraud Lawyers Blog. [read post]
30 Dec 2018, 4:00 pm
The post Purchasing A Home with Cryptocurrency appeared first on Lulich Attorneys & Consultants. [read post]
29 Dec 2018, 9:27 pm
In 2018, employees were entitled to ten sick days, with the first two days being paid. [read post]
29 Dec 2018, 6:59 am
The Ministry of Public Security did not respond to a request for comment. [read post]
28 Dec 2018, 4:04 pm
The first document was a “Basic Document for Account/Custody Account Relationship,” that provided: “Except for special circumstances, correspondence is . . . to be retained for a fee and held available at UBS. [read post]
28 Dec 2018, 6:29 am
The first of these is the danger o [read post]
28 Dec 2018, 3:58 am
Part of Chinese foreign exchange control is that Chinese individuals and companies are not permitted to open foreign bank accounts without first securing Chinese government approval to do so and this approval requires a legitimate business purpose. [read post]
27 Dec 2018, 9:30 pm
Securities and Exchange Commission (SEC) issued its first fines against automated “robo” financial advisers for violating the Investment Advisers Act of 1940. [read post]
27 Dec 2018, 1:38 pm
The US Securities and Exchange Commission (SEC) announced Wednesday that JPMorgan Chase Bank N.A. has agreed to pay a $135 million settlement for charges related to improper handling of “pre-released” American Depository Receipts (ADR). [read post]
27 Dec 2018, 12:55 pm
To you, it’s the first time you’ve ever gone through this. [read post]
27 Dec 2018, 10:35 am
Personal data under the bill includes: Social Security number, Driver’s license number, Passport or military identification number Financial account number, credit or debit card number with the access code or password necessary to permit access to the financial account Unique biometric data, including a fingerprint, voice print, retina image or other unique physical representation Account information such as user name and password or email address and password First and last… [read post]
27 Dec 2018, 10:35 am
Personal data under the bill includes: Social Security number, Driver’s license number, Passport or military identification number Financial account number, credit or debit card number with the access code or password necessary to permit access to the financial account Unique biometric data, including a fingerprint, voice print, retina image or other unique physical representation Account information such as user name and password or email address and password First and last… [read post]
