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15 Nov 2019, 2:35 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4916/securities-industry-commentator/A digital bank that raised $110 million from investors including Leonardo DiCaprio has run into trouble (CNBC.com by Hugh Son)Cybercriminal Charged With Unauthorized Computer Intrusion, Wire Fraud, Securities Fraud And Other Crimes / Defendant, Extradited from Ukraine, Allegedly Engaged in an… [read post]
16 Sep 2019, 10:16 am
Already, we’re seeing the once-small-time industry blossom into a haven for big corporations. [read post]
3 Jan 2013, 7:20 am
Most of these calls come from Wells Fargo Bank branches. [read post]
1 Apr 2016, 9:36 am
For some reason, we like to think that bank employees are more honorable and law-abiding than their counterparts at brokerage firms. [read post]
15 Nov 2009, 10:11 am
Consolidation in the banking industry took away the clients of banking lawyers in many regional markets. [read post]
22 Dec 2014, 2:36 pm
Mishkin The American Bankers Association, Consumers Bankers Association, Independent Community Bankers of America, National Association of Federal Credit Unions, and Association of Military Banks of America have submitted a 59-page letter commenting on the Department of Defense’s proposed revisions to its Military Loan Act regulations. [read post]
9 Feb 2019, 6:43 am
Has the Dark Lord infiltrated the American banking system? [read post]
19 Nov 2014, 4:06 pm
Credit unions, however, continue to rank best among financial services with an ACSI score of 85 on a 100-point scale – the second-highest of 43 industries in the Index. [read post]
16 Sep 2009, 9:00 am
Banks and financial institutions - The Dutch Banking Federation (Nederlandse Vereniging van Banken, NVB) published a code of conduct, applicable to domestic and foreign banking activities, on September 9, 2009. [read post]
1 Nov 2011, 5:30 pm
Since that time, U.S. rice sales to Cuba due to the current restriction forcing the use of third country banks to process payments. [read post]
16 Sep 2009, 11:14 am
The costs to consumers, the financial industry, and the economy would have been far less if states had not been hindered in protecting consumers. [read post]
9 May 2011, 7:25 am
You will recall that the collapse of the subprime housing industry led to the stockmarket crash a few years back. [read post]
9 Dec 2009, 9:42 am
In the report, Walker recommends extensive reforms to strengthen that country's bank governance and increased disclosure on pay. [read post]
14 Dec 2010, 7:27 pm
According to Local Tech Wire, Dennis Gillings, CEO of Quintiles, is struggling to bat down industry speculation that his Orange County divorce will have an adverse effect on the company. [read post]
26 Mar 2020, 6:10 am
On 25 March 2020, there was published a letter from the Chancellor, the Governor of the Bank of England, and the CEO of the FCA to the CEOs of the UK banks on the subject of COVID-19 and bank lending. [read post]
19 Sep 2024, 5:00 pm
These laws generally contain broad carve-outs for employers or positions where background checks are required, including within the financial services industry. [read post]
19 Sep 2024, 5:00 pm
These laws generally contain broad carve-outs for employers or positions where background checks are required, including within the financial services industry. [read post]
12 Aug 2010, 1:48 am
Whether industrial and business houses could be allowed to promote banks 5. [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
