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19 May 2011, 5:39 pm
The charges are being recommended because of allegations that GSEC knew or should have known that subaccounts belonged to the broker-dealer’s customers and were not the client’s “proprietary accounts. [read post]
17 Jul 2012, 12:15 pm
In addition, contracts with cloud computing providers should specify the providers’ obligations with respect to institutions’ responsibilities for compliance with privacy laws, for responding to and reporting security incidents, and for fulfilling regulatory requirements to notify customers and regulators of any breaches. [read post]
4 Oct 2011, 10:27 pm
Prior to retention, the Immigration and Customs Enforcement already set a very high bond amount. [read post]
6 Mar 2013, 7:12 am
“We need to make sure there’s an understanding in our customer of the rules of the marketplace,” Mann said. [read post]
23 Nov 2015, 11:22 am
Banks create structured notes, like the CREDIT SUISSE structured notes tied to oil, by packaging debt with derivatives to offer customized bets to retail investors while earning fees and raising money. [read post]
8 Feb 2010, 9:30 am
Laws, customs, institutions-- what are they compared to the judgment of the Bank of Sweden? [read post]
17 Mar 2016, 7:26 am
” In order to set up an account and move money online, Dwolla customers provide Dwolla with sensitive personal information, including address, telephone number, social security number, and bank account and routing information. [read post]
18 Aug 2016, 8:18 am
Securities and Exchange Commission in an administrative proceeding on Tuesday after allegedly misappropriating more than $20 million from bank clients. [read post]
12 Nov 2010, 1:11 am
Her Majesty's Revenue and Customs (HMRC)'s view was that the monthly fee charged by Denplan in return for its services was not consideration for a financial service that fell within the exemption. [read post]
17 Feb 2011, 5:29 am
I’ve discussed how one result of Durbin will be to drive many consumers to use non-bank prepaid cards (such as the thankfully-deceased “Kardashian card”) or other uncovered institutions. [read post]
10 Sep 2015, 2:26 pm
Paul Lawson, Uptown, and US Bank Plaza (Minneapolis). [read post]
18 Jul 2014, 2:34 am
Or something much more advanced: merging other datasets like Ian Ayres did or including the number of accounts/customers for particular companies so that we can assess the ratio of complaints relative to products as opposed to just realizing that big banks are wont to get more complaints. [read post]
18 Apr 2013, 10:42 am
To this end, a number of nations have created financial laws that prohibit the formation of anonymous companies and monitor suspicious bank transfers. [read post]
13 Jun 2008, 4:47 pm
A Customs and Border Patrol agent asked Arnold to fire up his laptop and browsed through two folders on the machine's desktop, labeled "Kodak Pictures" and "Kodak Memories. [read post]
17 May 2009, 6:56 pm
The real question for law firm customers--are your lawyers going to paying attention to you and your matters while fighting for survival? [read post]
15 Dec 2010, 4:07 pm
” The foundation’s Q & A page says that title loans are “good for fast cash,” and that many people who use them cannot get loans from banks or credit unions. [read post]
7 Nov 2023, 2:55 pm
I remember calling the CEO of US Bank one evening. [read post]
12 May 2010, 8:01 am
Analysts have stated that all Wall Street investment banks have been receiving subpoenas about CDOs and CDO marketing. [read post]
9 Jan 2019, 4:00 am
As part of the ruse, the conspirators constructed falsified financial documents, including bank statements, customer lists and revenue streams. [read post]
18 Jul 2012, 5:59 am
Most advisers and fund managers are not subject to a formal regulatory requirement to adopt written AML procedures or know-your-customer programs. [read post]
