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24 May 2011, 8:59 am
The FIRST Option Bonds (Exchange of Securities) Rules 2011 The Export Control (Syria and Miscellaneous Amendments) Order 2011 The Tractor etc (EC Type-Approval) (Amendment) Regulations 2011 The Investment Bank Special Administration (England and Wales) Rules 2011 The Occupational Pension Schemes (Contracting-out) Amendment Regulations 2011 The Taxation of Chargeable Gains (Gilt-edged Securities) Order 2011 Source: www.legislation.gov.uk [read post]
21 Mar 2022, 9:56 am
The Code sets out principles of good practice in the foreign exchange market. [read post]
31 Oct 2010, 10:26 pm
This week we discussed this week's midterm elections in the US, bank reform and the proposed merger of the Australian and Singaporean Stock Exchange, the new New Matilda, and the Brisbane International Film Festival: [read post]
9 Jun 2023, 9:14 am
On 9 June 2023, the European Banking Authority (EBA) published the 2023 update of the list of closely correlated currencies, originally published in December 2013. [read post]
14 Dec 2015, 9:03 am
The European Court of Justice (ECJ) has held in the case of Banif Plus Bank Zrt. [read post]
5 Jun 2007, 10:01 pm
The Securities Exchange Commission will support investors who hope to hold banks liable for allegedly facilitating fraud by Enron against its shareholders. [read post]
5 Jun 2023, 4:09 am
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers (BrokeAndBroker.com Blog) Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation (BrokeAndBroker.com Blog) Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections DOJ RELEASES Former Co-Owner Of Minnesota Vikings Sentenced To 75 Months In Prison For Providing Shadow Banking Services To… [read post]
3 Sep 2012, 11:03 am
There is a process by which the information is collected but not automatically exchanged with home countries. [read post]
15 Sep 2009, 3:22 am
It didn't come as a complete surprise to us, but federal district court judge Jed Rakoff's fire-breathing rejection of Bank of America's $33m (£20m) settlement with the Securities and Exchange Commission (SEC) was a stunner. [read post]
23 Aug 2011, 8:55 am
The bank noted that it acts as a foreign exchange market maker and principal in order to provide foreign exchange services to customers in the normal course of its business. [read post]
11 May 2015, 9:05 pm
Bainbridge] Tags: arbitration, CFPB, Dodd-Frank, Eliot Spitzer, FATCA, Securities and Exchange Commission, securities litigationBanking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
1 Oct 2015, 9:05 pm
NYC first city to follow state trend toward banning employer use of credit history in hiring [Jennifer Mora, David Warner, and Rod Fliegel, Littler this spring] Tags: arbitration, Bill de Blasio, CFPB, Elizabeth Warren, FATCA, India, NYC, Securities and Exchange Commission, Wall StreetBanking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
15 Sep 2009, 4:00 am
In what has to be a stinging rebuke to both sides, Judge Rakoff refused to approve the settlement between the Securities and Exchange Commission and Bank of America over the alleged failure to adequately disclose the Merrill Lynch bonuses paid just before the merger. [read post]
15 May 2008, 10:20 pm
SEC Approves NYSE's New SPAC Listing Standards Last week, in this order, the SEC approved the NYSE's rule changes to make it easier for SPACs to be listed on the exchange. [read post]
26 Apr 2023, 7:54 am
In the case of the CFTC, the agency said that qualified financial contracts (QFCs) that are swaps transferred by the FDIC to related bridge banks would not be subject to enforcement under the Commodity Exchange Act and related CFTC regulations for violations that arise solely from the FDIC transfers. [read post]
28 Jun 2010, 2:11 am
Under the transactional test the Court enunciated in the National Australia Bank decision, investors who bought their share on non-U.S. exchanges cannot pursue a claim under U.S. securities laws. [read post]
27 Jul 2012, 7:57 am
The new proposed rule for US banks to annually report interest payments made on accounts held by foreigners in US banks has come under fire by the banking fraternity across the nation. [read post]
26 Aug 2014, 7:14 am
Dictionaries generally define “bank” as a financial establishment for the deposit, loan, exchange, or issue of money and for the transmission of funds. [read post]
12 Nov 2012, 12:27 am
The case, which was the first failed bank lawsuit the FDIC filed as part of the current bank failure wave, is also the first to go to trial. [read post]
28 Feb 2011, 11:08 am
Darrell Issa requested a subpoena be issued to Bank of America, which bought Countrywide in 2008, regarding the "Friends of Angelo" program that offered preferential loan terms to lawmakers and government officials, allegedly in exchange for political favors. [read post]
