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10 Oct 2014, 5:30 am
The sweep uncovered widespread deficiencies including:Insufficient policies and procedures to monitor for and identify potential red flags in customer-initiated sales.Inadequate controls to evaluate how customers acquired the securities and whether they could be lawfully resold without registration.Failure to file suspicious activity reports, as required by the Bank Secrecy Act, when encountering unusual or suspicious activity in connection with… [read post]
27 Apr 2009, 6:02 am
Information is now emerging that Millennium nurtured customers with an internet marketing plan targeted at individuals shopping for the best returns on term Certificates of Deposit. [read post]
21 Aug 2011, 3:04 pm
Terrorism Financing Act are expected to assist banks (and other financial institutions) to verify a customer’s identity over the internet. [read post]
28 Jul 2008, 10:32 am
HM Revenue & Customs are planning another go at trying to persuade those with undeclared overseas bank accounts to come forward. [read post]
6 Nov 2023, 4:06 am
Bank customers get a letter in the mail saying their institution is closing all of their checking and savings accounts. [read post]
21 Feb 2023, 12:21 pm
The authorities alleged that “from at least 2009 to 2016, Danske Bank, through its Estonian branch, provided banking services to suspicious customers despite knowing there was a high degree of risk that such customers were potentially engaged in money laundering,” according to the SEC. [read post]
3 Jan 2012, 3:58 pm
The bank allegedly engaged in these practices for its customers, such as large pension funds, who participated in its standing-instruction foreign exchange services. [read post]
17 Feb 2009, 12:24 pm
Lawyers for customers of Banco Santander who lost money that had been invested with Bernard L. [read post]
20 Oct 2022, 11:08 am
We also review the CTA’s new beneficial ownership reporting requirements and discuss how they interact with existing customer due diligence (CDD) requirements and the need to align CTA and CDD regulations. [read post]
29 Nov 2021, 12:10 pm
On November 23, 2021, the Senate Committee on Banking, Housing, and Urban Affairs sent a series of letters to prominent stablecoin issuers and cryptocurrency exchanges. [read post]
22 Mar 2023, 12:52 pm
The key bank here is Silicon Valley Bank SBB. [read post]
2 Oct 2018, 4:00 am
Customers must exhaust the bank’s internal complaint process before going to OBSI or ADRBO. [read post]
5 Apr 2018, 6:00 am
Each time a loan is renewed or a certificate of deposit is rolled over, the bank is establishing another banking relationship and a new account is established. [read post]
22 Jul 2014, 3:37 pm
The letter states that community banks know their customers personally, underwrite loans based on personal relationships, and keep a large number of nontraditional loans in their own portfolios. [read post]
10 Jan 2010, 9:46 pm
Got a structured settlement and need to change the bank account for your direct deposit? [read post]
10 Aug 2020, 8:10 am
On 7 August 2020, the European Commission published its written response to a question raised in the European Parliament that whilst persons legally resident in the EU are allowed to open a basic bank account within its territory banks sometimes avail themselves of an exception to this rule where granting access to a basic bank account would effectively be in breach of the anti-money laundering Directive. [read post]
27 Mar 2024, 9:01 pm
The DOJ said that these factors may include fees, interest rates, branch locations, product variety, network effects, interoperability and customer service. [read post]
8 Jan 2011, 8:01 pm
Is an internet bank like ING Direct subject to garnishments in any state because internet banks, by doing business over the internet, is does business everywhere its customers reside? [read post]
21 Sep 2020, 7:35 am
Rodemer, who was registered with the brokerage and investment banking firm Stifel as a general securities representative from November 2011 until his termination by the firm on January 21, 2020, is alleged to have misappropriated $451,889 of his long-time client’s funds from March 2012 through 2019, including $136,098 after May 2015. [read post]
24 Jun 2013, 12:10 pm
Underlying the appeal is New York’s Uniform Commercial Code and a bank’s liability to a customer when the bank pays a check on a forged signature. [read post]
