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15 Aug 2011, 4:19 pm
The proposed Dodd-Frank risk retention regulations are so flawed as currently drafted that they should be withdrawn and re-issued, said securities and banking associations in a letter to the SEC and the federal banking agencies. [read post]
15 Aug 2011, 4:19 pm
The proposed Dodd-Frank risk retention regulations are so flawed as currently drafted that they should be withdrawn and re-issued, said securities and banking associations in a letter to the SEC and the federal banking agencies. [read post]
15 Mar 2018, 7:16 am
Democrats split over financial rules. [read post]
7 Sep 2011, 7:47 am
FHFA: Financial Firms Broke State & Federal Laws One of the suit’s allegations is that the financial firms violated federal and state laws by selling the securities to Fannie Mae and Freddie Mac, two government-sponsored companies that help make mortgages more affordable to Americans. [read post]
20 Jun 2023, 1:28 pm
Silver Law Group is investigating banks TCF Financial and Huntington Bancshares Inc. [read post]
18 Feb 2014, 5:22 pm
(Swiss Banking Ombudsman.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds; FINRA Directors Defend Ombuds Program; Bank Regulators Relying on Ombuds to Ensure Consistency; New Canadian Banking Ombuds Named; Financial Regulatory Reform Will Create New Ombuds Programs; AMF Ombuds Resolves Conflicts in the French Financial Sector. [read post]
3 Jul 2012, 7:45 am
The FSRA contains amendments to the Bank Act, clarifying the order of priorities in a situation where multiple security interests, including those under the Bank Act and under a provincial Personal Property Security Act (“PPSA”), are taken with respect to the same collateral. [read post]
6 Apr 2012, 9:48 am
The complaint seeks financial penalties, officer and director bars, and permanent injunctive relief against the individuals from future violations of the federal securities laws. [read post]
5 Feb 2019, 12:07 pm
In doing so, the Arizona court rejected Everest National Insurance Company’s narrow construction of the bond’s “Securities” insuring agreement and ruled that the notice-prejudice rule applies to a financial institution bond. [read post]
25 Jan 2013, 12:31 am
” Sabol also allegedly knew of the efforts to mask the problems yet signed the disclosures and certified the bank’s financial statements. [read post]
27 Feb 2023, 1:18 pm
TD Bank agreed to pay $1.2 billion to settle claims arising from a giant Ponzi scheme involving Stanford Financial. [read post]
10 Sep 2009, 4:21 am
In the latest fallout from Citigroup's retrenchment in Japan, Daiwa Securities Group said Thursday that it would buy the stake held by Sumitomo Mitsui Financial Group in their investment bank joint venture. [read post]
7 Nov 2023, 9:01 pm
For example, when providing services to banks or other regulated financial institutions, non-bank financial institutions may be subject to certain data breach notification requirements imposed on bank service providers by banking regulators that incorporate different standards as to when notification is required. [read post]
2 Apr 2011, 10:29 am
Citing its unique role as a bank for central banks, the Bank for International Settlements has asked the SEC and CFTC for an exemption from the Dodd-Frank definitions of swap and security-based swap. [read post]
6 Dec 2011, 12:12 pm
In a letter to SEC Chair Mary Schapiro and federal banking regulators, securities and banking trade associations requested that the agencies extend the deadline for comments on their proposed regulations under the Volcker Rule. [read post]
26 Dec 2010, 6:22 am
§ 5314 all US residents or citizens who engage in a transaction with foreign banks or financial institutions or who have a financial interest in securities or other financial accounts in foreign countries must report the transaction or the financial interest to the federal government. [read post]
11 Aug 2022, 8:24 am
On 11 August 2022, the European Securities and Markets Authority (ESMA) published a Memorandum of Understanding (MoU) between itself and South Africa’s Financial Sector Conduct Authority, Prudential Authority and the South African Reserve Bank related to central counterparties (CCPs) established in South Africa. [read post]
23 Jul 2008, 9:11 pm
(R) Finance that Banks Continue to Prey on Social Security Recipients. [read post]
13 Sep 2014, 1:22 pm
In a groundbreaking move, the new European Commission will have a Commissioner for Financial Services, Financial Stability and Capital Markets, with complete oversight of securities and banking regulation across the E.U. [read post]
1 Jul 2012, 9:35 pm
According to securities arbitration lawyers, some of the Bank of America structured products currently being investigated are Bank of America Return Linked Notes, Bank of America Equity Appreciation Growth Linked Securities (Basket EAGLES), Bank of America Strategic Equity Exposure Performance Linked Securities, Bank of America Capital Protection Equity Performance Linked Securities (CYCLES) and Bank of America… [read post]
