Search for: "E* Trade Bank"
Results 1181 - 1200
of 18,395
Sorted by Relevance
|
Sort by Date
4 Jun 2021, 5:06 am
On 1 June 2021, the Financial Markets Law Committee (FMLC) sent a letter to Keith Skeoch, chair of the independent panel that HM Treasury has appointed to review the operation of legislation relating to ring-fencing and banks’ proprietary trading activities. [read post]
20 Apr 2017, 9:03 am
Five of the complaints include allegations of unauthorized trading. [read post]
9 May 2011, 7:32 pm
In a letter to the SEC, Republican members of the Senate Banking Committee asked for an SEC Inspector General review of the economic analyses performed by the Commission with regard to six specific and significant Dodd-Frank regulatory implementation initiatives. [read post]
29 Mar 2017, 1:35 am
It incorporates weak global growth, persistently low interest rates, stagnant world trade and cross-border banking activity, increased competitive pressure on large banks from smaller banks and non-banks, and a continuation of costs related to misconduct. [read post]
11 Aug 2010, 5:30 am
Most notably, the LA Times is shocked Goldman is not actually going to lose a lot of money from the Volcker rule barring proprietary trading by banks: Goldman has started to move some employees engaged in proprietary trading — the often lucrative buying and selling of securities on behalf of the bank itself — to other parts of the bank, where they will make trades on behalf of clients, according to people familiar… [read post]
26 Aug 2014, 7:14 am
Code Title 15 (Commerce and Trade), the Texas Finance Code, and the Texas Business and Commercial Code, illustrate that banks and brokerage firms generally fall under distinct statutory and regulatory regimes. [read post]
9 Jun 2009, 1:25 pm
Standards that already apply to some dealers, such as banking entities, should be strengthened and made consistent, regardless of the legal entity where the trading takes place. [read post]
26 Jul 2016, 3:15 pm
The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million in a global settlement for misleading mutual funds and other custody clients by applying hidden markups to foreign currency exchange trades. [read post]
10 Mar 2009, 10:55 am
In Monday trading on the New York Stock Exchange, Citigroup shares closed at $1.05. [read post]
10 Jun 2013, 5:00 am
In the complaint, the SEC states that Badin has a Facebook friend who is an associate director at the investment bank that advised another bidder for Smithfield. [read post]
14 Mar 2023, 12:22 pm
Another curious thing about this lawsuit is that the complaint names as defendant the bank itself, rather than its publicly traded holding company. [read post]
11 Jun 2019, 4:24 am
On 4 June 2019, UK Finance, a trade association for the UK financial services sector, published its principles for exiting a customer – which have been developed with input from the FCA. [read post]
10 Jul 2012, 5:38 am
THESE ARE CLASSIC SYMPTOMS OF A MONETARY SQUEEZE: Trades at Tehran’s currency bazaar ripple through Iran’s struggling economy. “Iranian authorities never took much notice of the traders at the bazaar — which feels like something between a stock exchange floor and an off-track betting center — until the difference between the central bank’s official rate for dollars and the street rate began to widen, lowering confidence in the… [read post]
10 Jul 2012, 5:38 am
THESE ARE CLASSIC SYMPTOMS OF A MONETARY SQUEEZE: Trades at Tehran’s currency bazaar ripple through Iran’s struggling economy. “Iranian authorities never took much notice of the traders at the bazaar — which feels like something between a stock exchange floor and an off-track betting center — until the difference between the central bank’s official rate for dollars and the street rate began to widen, lowering confidence in the… [read post]
6 Oct 2008, 11:15 am
Societe Generale, the French bank hit by a massive rogue trading scandal this year, is solid and is ready to look at acquisitions, chief executive Frederic Oudea told Le Parisien. [read post]
18 Sep 2007, 4:50 am
The bank launched the Goldman Sachs Tradable Unregistered Equity problem for trading offerings to institutional investors that do not require a registration with the Securities and Exchange Commission. [read post]
13 Sep 2009, 11:30 am
Six of the principles relate directly to bank capital requirements. [read post]
3 Sep 2019, 7:36 am
The presumptions will now permit Wall Street’s largest banks to avoid or evade prop trading limits, because they permit, in effect, all trading activities conducted within risk limits established by the banks themselves. [read post]
20 Mar 2015, 8:00 am
The bank allegedly failed to disclose that they had traded gold on behalf of the Central Bank of Iran. [read post]
22 May 2012, 12:19 pm
SEC Chair Mary Schapiro said that the JP Morgan trading in question took place in a London-based bank and not in the broker-dealer supervised by the SEC. [read post]
