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11 Jan 2017, 8:24 pm
Insured Exclusion Unambiguously Excludes FDIC’s Failed Bank Claims appeared first on The D&O Diary. [read post]
31 Dec 2018, 9:52 am
(CRD #10083) of Red Bank, NJ, Spartan Capital Securities, LLC (CRD #146251) and Portfolio Advisors Alliance, Inc. [read post]
14 Mar 2023, 9:15 am
Read more here.The post Minimizing Risk and Liability from Man-in-the-Middle Attacks (or, How to Keep Your Company’s Wire Transfers from Going Awry) first appeared on Security, Privacy and the Law. [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]
7 Apr 2022, 9:01 pm
First, it would create a framework for the registration of security-based SEFs, based upon the 14 core principles for these entities spelled out in the Dodd-Frank Act. [read post]
15 Jul 2011, 1:44 am
Haven Trust was one of the first banks to fail back in late 2008, and the FDIC is just getting around to filling suit now. [read post]
29 Sep 2015, 7:07 am
The staff believes that banking entities that are required to provide the annual CEO certification for prime brokerage transactions as of the end of the conformance period should submit the first CEO certification after the end of the conformance period but no later than March 31, 2016. [read post]
4 Mar 2011, 1:07 am
The FDIC’s complaint against the four former Corn Belt officials is just the fifth complaint filed so far as part of the current bank wave, and first since the FDIC filed two complaint’s the same day in January 2011. [read post]
5 Dec 2009, 5:46 pm
The larger national banks almost always foreclose first mortgages before considering a suit for personal liability. [read post]
5 Dec 2009, 5:46 pm
The larger national banks almost always foreclose first mortgages before considering a suit for personal liability. [read post]
3 Jun 2011, 8:08 am
Since the first swap agreements in the early 1980s, most swaps have been largely unregulated. [read post]
5 Mar 2012, 12:11 am
National Australia Bank, the U.S. [read post]
4 Apr 2018, 11:28 am
SEC Action against Initial Coin OfferingOn January 30, 2018, the SEC obtained a court order for an immediate asset freeze to halt an allegedly fraudulent ICO targeting retail investors and claiming to be the world’s first “decentralized bank. [read post]
20 Mar 2015, 3:11 pm
The indictment alleges Chenier engaged in a bank fraud scheme spanning from July 2004 to August 2012, during which time he obtained fraudulent commercial loans from local banks using falsified documents and someone else’s Social Security number and laundering the proceeds. [read post]
27 Apr 2017, 11:46 pm
In the Circular, CBRC for the first time explicitly permits FI Banks to conduct financial advisory and other consultancy business. [read post]
9 Mar 2023, 1:46 pm
The SEC’s orderhttps://www.sec.gov/litigation/complaints/2023/comp-pr2023-48.pdf finds that, on July 16, 2020, Blackbaud announced that the ransomware attacker did not access donor bank account information or social security numbers. [read post]
15 May 2012, 2:00 am
(“CMB”) to establish a branch in New York, New York, the first such approval for a Chinese bank since the FBSEA. [read post]
13 Feb 2008, 6:33 pm
The former CEO of the First National Bank of Northern Kentucky was indicted in connection with a $4.5 million fraudulent loan scheme that he allegedly facilitated. [read post]
25 Mar 2024, 12:01 pm
On 25 March 2024, the European Securities and Markets Authority (ESMA) published two final reports on its first set of regulatory technical standards (RTS) and implementing technical standards in relation to the Markets in Crypto-Assets Regulation (MiCAR). [read post]
2 Jun 2020, 7:40 am
In this case, plaintiffs James Thole and Sherry Smith sued US Bank under the Employee Retirement Income Security Act of 1974 (ERISA) to allege that the defendants violated the act by poorly investing their assets. [read post]
