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16 Nov 2012, 9:14 am
., which is owned by the Royal Bank of Scotland, and in substantial part, operates from kiosks located in traditional retail bank branch offices of Citizens Bank. [read post]
23 Feb 2021, 6:01 am
But the third bank had no U.S. branch, only a correspondent account at a U.S. bank in New York. [read post]
31 Jul 2012, 8:19 pm
Under these sanctions, U.S. financial institutions are “prohibited from opening or maintaining a correspondent account or a payable-through account” for the two banks, effectively cutting them off from foreign exchange and the U.S. financial system. [read post]
22 Dec 2009, 4:54 am
According to the New York Times report, Deutsche Bank and Morgan Stanley will be preparing the public offering. [read post]
18 Mar 2018, 6:00 pm
The rub here is that the transaction must be all cash and banks typically don’t like to lend to investors conducting a reverse 1031 exchange. [read post]
19 May 2016, 9:30 am
Despite indicators that might have seemed red flags—large speculative capital flows, a fixed exchange rate, and substantial external debt—Scotland successfully navigated two severe financial crises during the Seven Years’ War. [read post]
21 Oct 2011, 9:46 am
The Securities and Exchange Commission, also part of the joint rulemaking, signed off on the proposal at an Oct. 12 open meeting. [read post]
19 May 2010, 12:29 pm
In a May 10 Securities and Exchange Commission filing, JP Morgan Chase & Co. says that an SEC regional office intends to recommend that the agency file charges against the investment bank for securities violations involving the selling or bidding of derivatives and guaranteed investment contracts (GICs). [read post]
3 Feb 2012, 5:08 am
Even as the Securities and Exchange Commission has stepped up its investigations of Wall Street, the agency has repeatedly allowed the biggest firms to avoid punishments, reported Edward Wyatt for The New York Times. [read post]
5 Mar 2021, 11:00 am
Securities and Exchange Commission (SEC) Office of the Whistleblower posted sixteen new Notices of Covered Actions (NCAs). [read post]
31 Oct 2011, 11:06 pm
The lawsuits accuse the bank of overcharging major clients through unfavorable currency-exchange rates. [read post]
22 Dec 2014, 10:48 am
Under the revised threshold, an issuer that is not a bank or bank holding company is required to register a class of equity securities under the Exchange Act if it has more than $10 million of total assets and the securities are “held of record” by either 2,000 persons, or 500 persons who are not accredited investors. [read post]
30 Mar 2012, 12:15 pm
For banks and bank holding companies, the threshold number of record holders will be increased to 2,000 persons. [read post]
1 Dec 2009, 8:25 pm
 Why would a U.S. bank issue CoCos? [read post]
15 Mar 2012, 3:07 pm
“Two boards in the state Department of Banking and Insurance already cover the intent of the Exchange Act, for example by certifying products in those markets, controlling rates, publicizing the availability of coverage, mandating guaranteed issue and renewal, as well as providing lesser waiting periods for coverage and longer dependent coverage. [read post]
13 May 2024, 9:05 pm
Following the financial crisis and the 2023 banking crisis, regulators need the help of banks to save the banking system just as they did during the 2023 banking crisis. [read post]
13 Nov 2003, 3:50 am
The Securities and Exchange Commission is asking Eli Lilly & Co. for documents in a review of possible violations involving their Polish drug [read post]
28 Apr 2015, 10:26 am
” The opt-in permission means that if consumers overspend their balance while using their debit card to make a purchase or withdraw cash from an ATM, the bank will cover the shortage with a temporary advance, in exchange for a fee. [read post]
23 Sep 2009, 7:01 am
Regions Bank has agreed to pay a $1 million penalty to settle a Securities and Exchange Commission complaint that it played a role in a long-term investment fraud that charged huge hidden fees and sales commissions to thousands of unwitting Latin American investors. [read post]
19 Oct 2008, 5:00 am
While the above and other informal banking systems like the Mexican or Columbian Black Market Peso Exchange are most active in offshore geographical locations, they still of course continue to operate in the U.S. [read post]
