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20 Mar 2023, 7:21 am
“The acquisition of LIGL highlights Reveal’s commitment to an ongoing approach to growth that emphasizes customer needs over everything else. [read post]
1 Dec 2016, 12:47 pm
While stating in the recently published “Conflict of Interest FAQs” (the “FAQs”) that the ongoing receipt of a fixed percentage of the value of a customer’s assets under management, where such values are determined by readily available independent sources, typically does not require compliance with a prohibited transaction exemption, the DOL cautions that such compensation may still raise conflict of interest concerns and require that the adviser comply… [read post]
7 Feb 2014, 11:14 am
For example, a Pharmacy, Doctor’s Office, or Dental Office will likely receive cash payments in small increments from a large number of customers or clients. [read post]
1 Oct 2010, 2:00 am
The law provides bank customers with protections and limited liability for fraudulent transactions if, and only if, reasonable security procedures are in place. [read post]
23 Apr 2020, 6:01 am
Remember how in the last crisis, banks like UBS, Morgan Stanley, and Goldman Sachs created mortgage-backed securities, known as MBSs, then sold slices of those securities to their customers? [read post]
1 Feb 2010, 4:30 pm
The documents purported to provide evidence that the Cayman Islands bank helps customers hide assets and wash funds. [read post]
14 Nov 2010, 10:22 am
Many pay day loan institutions will aggressively pursue collections actions against its customers. [read post]
13 Jul 2011, 3:02 pm
Another risk of proprietary trading is counterparty credit risk, which is the risk to earnings or capital arising from an obligor’s failure to meet the term of any contract with the bank or to otherwise perform as agreed.There is reputation risk, which is the potential for financial losses that could result from negative publicity regarding an institution’s business practices that results in a decline in customers or revenues. [read post]
23 Apr 2020, 6:01 am
Remember how in the last crisis, banks like UBS, Morgan Stanley, and Goldman Sachs created mortgage-backed securities, known as MBSs, then sold slices of those securities to their customers? [read post]
26 Dec 2010, 11:22 am
Homeowners may select the bank with which they have a credit card or a checking account, he noted, but they have no say in who services their mortgage.In fact, community banks and credit unions have been reluctant to sell the mortgages that they originate to “private-label securitizers” for fear that the mortgages will be serviced by an affiliate of a bank, and the servicer will use that relationship to cross market other banking services to the… [read post]
9 Oct 2009, 11:57 pm
Even if your card stops working, you could be charged for calling customer service. [read post]
22 Aug 2011, 7:30 am
Treasury, reeling from a series of bank failures and criticism of its responses to them, feared that those banks could disintegrate one-by-one. [read post]
28 Aug 2009, 10:45 pm
Most banks automatically (i.e., sneakily) enroll their customers in an overdraft protection program. [read post]
8 May 2008, 7:05 am
In recent remarks at the Economic Club of New York, he noted that, while mark-to-market is an essential discipline for hedge funds and other thinly capitalized financial firms, it may not be as suitable for regulated, more highly capitalized intermediaries, such as commercial banks.Ongoing bank-customer relationships, the value of which is not automatically correlated with reversible swings in market interest rates, cannot be easily reduced to a market price or a mathematical… [read post]
4 Aug 2009, 5:41 am
Immigration and Customs Enforcement U.S. [read post]
28 Dec 2011, 11:34 am
The government agency was created this year and was designed to take consumer complaints and pass them on to the companies and set up a tracking system for customers to follow their complaints. [read post]
5 Apr 2012, 4:47 pm
Panama used to be called the "Switzerland of the Americas" for its banking privacy and secrecy. [read post]
17 Mar 2010, 5:01 am
The brokers and banks, in turn, place the shares owned by all of their customers in a depository, DTC (actually held in the name of Cede). [read post]
23 Mar 2008, 6:56 pm
Then the same Wall Street firms sold the "mortgage-backed securities" to pension funds and other customers. [read post]
21 Oct 2018, 11:26 pm
The RLA are also on the case here and they suggest that the bank’s practices breach a number of principles within the FCA’s ‘Treating Customers Fairly’ agenda. [read post]
