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17 Sep 2008, 5:14 pm
” A financial institution is essentially a bank or credit union that holds a deposit or other type of account on behalf of consumers. [read post]
12 Nov 2010, 7:26 am
She has reviewed over 120 bilateral trading arrangements for the Asian Development Bank. [read post]
17 Jan 2019, 7:00 am
According to the amended guidance, members will be required to report to NFA any cybersecurity incident related to the member’s commodity interest business that resulted in (i) any loss of customer or counterparty funds, (ii) any loss of a member’s own capital, or (iii) the member making a notification to customers or counterparties under state or federal law (notably this part of the guidance does not include notification under foreign law, like the European… [read post]
20 Jun 2017, 7:31 am
The findings also stated that in transactions for or with a customer, the firm failed to execute a customer order fully and promptly. [read post]
4 Dec 2018, 11:50 am
For employers, it means protecting internal employee information is as much of a priority as protecting customer data. [read post]
12 Apr 2024, 6:19 am
“The FCA’s letter is likely to be interpreted by some as a signal as to the FCA’s direction of travel on the DCA review and the potential for customer redress. [read post]
12 Jan 2017, 4:06 am
Schneiderman, a First Amendment challenge to a New York law that allows merchants to give discounts to customers who pay in cash, but prohibits the imposition of surcharges for customers who use credit cards. [read post]
3 Mar 2010, 8:26 am
Banks and Lenders: 32,443 (2%) 11. [read post]
3 Apr 2012, 12:17 pm
SoundBite currently sends a one-time confirmation text message after it receives an opt-out request from a customer. [read post]
22 Nov 2019, 2:54 pm
This is true even if the caterer was too busy catering these parties to be able to provide services to any other customer. [read post]
22 Jan 2007, 2:14 pm
., In re Omaha National Corporation, supra (the descriptive meaning of FIRSTIER in the banking field would be understood at least by applicant's corporate customers, if not its individual customers). [read post]
10 Jun 2010, 7:46 am
Beginning in about 2000, the indictment alleges, Modanlo brokered an agreement between Polyot and a “customer in Iran” to construct and launch a small low-Earth-orbit satellite. [read post]
23 Feb 2008, 5:36 am
That is when an insurance company puts its own interests above that of its own customers by failing to act reasonably in settling a claim that has been brought against its own customer. [read post]
9 Jan 2019, 8:28 am
What does this mean for banks and payment processors? [read post]
4 Aug 2009, 6:40 am
Raymond James has shown no interest in redeeming customers' holdings. [read post]
11 Jan 2016, 8:53 am
Also, in keeping with FinCEN policy, resolution through a consent order will require an admission to a willful violation of the Bank Secrecy Act (BSA). [read post]
18 Mar 2008, 8:47 am
TJ Maxx has settled with VISA and the card issuing banks over its security breach for $82 million. [read post]
14 Oct 2019, 1:11 pm
The BSA authorizes the Secretary of the Treasury to designate various businesses as “financial institutions” and to impose a variety of AML requirements on those businesses, such as compliance programs, customer identification programs and suspicious transaction reporting. [read post]
24 Sep 2019, 6:10 am
What are blockchain firms already doing, or perhaps still need to do, in order to better comply with the Bank Secrecy Act and related know-your-customer (KYC) and AML requirements? [read post]
11 Jul 2014, 3:59 pm
Senator Richard Shelby (R-AL), a former Chair of the Banking Committee, expressed concern about investor confidence in the equity markets, particularly with retail investors. [read post]
