Search for: "The Depository Trust Company"
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11 May 2012, 3:50 am
Although Quesada was supposedly a good employee and worked in phone customer service where she never handled cash on the job, according to Wells Fargo spokesman Jim Hines since the company is an insured depository institution they are “bound by federal law that generally prohibits us from hiring or continuing employment of any person who we know has a criminal record involving dishonesty or breach of trust. [read post]
8 May 2012, 5:00 am
(n) Other Sources: Form PF Adopting Release (.pdf) Private Fund Reporting Depository Form PF and Investor Representations in Subscription Agreements in Compliance Avenue Real Estate Funds and Form PF [read post]
17 Apr 2012, 7:22 am
As we know Depository Trust Company (DTC) controls which companies will be permitted to use their services which permit electronic trading of stocks rather than issuance and reissuance of stock certificates. [read post]
11 Apr 2012, 1:13 am
{15] Federal banking regulators are required to investigate insured depository institution failures and bring lawsuits to recover damages. [read post]
30 Mar 2012, 12:15 pm
Shares held in “street name” by the Depository Trust Company will continue to be calculated by reference to the number of DTC participants through which shares are held, consistent with current SEC guidance, rather than the number of underlying beneficial owners. [read post]
26 Mar 2012, 12:40 pm
As I mentioned last week, on March 15 the SEC ordered The Depository Trust Company (DTC) to conduct a hearing as to the fairness of their decision to suspend or “chill” settlement and book-entry clearing services for International Power Corp. [read post]
19 Mar 2012, 6:26 am
Last Thursday, the SEC ruled In the Matter of the Application of International Power Group, Ltd. for review of action taken by Depository Trust Company or DTC. [read post]
17 Feb 2012, 5:00 am
All of which came true for Mellon (who acquired her surname by marrying a man with 14 trust funds, but that’s another story). [read post]
20 Jan 2012, 6:34 am
Each of the decisions and studies discussed below is intended to give you a flavor of the issues in the competition and anti-trust scene so that, when you review your business activities, structure new deals or make acquisitions, you have these issues at the back of your mind and provide for them. [read post]
23 Dec 2011, 8:00 am
Department of Energy is considering using East Coast granite formations as nuclear waste depositories. [read post]
6 Dec 2011, 7:31 am
A depository by any other name? [read post]
28 Nov 2011, 8:57 pm
Such customer funds when deposited with any bank, trust company, clearing organization or another futures commission merchant shall be deposited under an account name which clearly identifies them as such and shows that they are segregated as required by the Act and this part. [read post]
13 Nov 2011, 6:32 pm
Additionally, while the SEC requested records from the Depository Trust Company that would have demonstrated the fact that Madoff was not doing the trading he advertised, it was Madoff himself who provided these records to the SEC - not the DTC. [read post]
6 Nov 2011, 7:04 am
But one of the responsibilities of the intermediary is to outsource the cash management responsibilities to qualified third-party custodians such as broker-dealers or insured depository institutions, which was a concern that Congress had as the legislation moved through committee, who is holding the money and can they be trusted, and will they release the money at the right time. [read post]
30 Sep 2011, 7:20 am
Kang; Issued 8/1/11 – PDF Branch Banking and Trust, Winston-Salem, NC; FDIC-11-280e; against Lisa Michelle Darbrowski; Issued 8/11/11 – PDF First Midwest Bank, Centerville, SD; FDIC-10-869e; against Lee C. [read post]
31 Aug 2011, 7:50 am
If the funeral home used joint accounts, the State Board wants a copy of the current bank statements for the certificates of deposits and depository accounts. [read post]
23 Aug 2011, 8:55 am
A "banking entity" is an insured depository institution, a company that controls an insured depository institution, or a company that is treated as a bank holding company, including any affiliates or subsidiaries. [read post]
4 Aug 2011, 4:53 pm
Century Bank, Doral, FL; FDIC-11-174b; Issued: 6/7/11 – PDF The Coastal Bank, Savannah, GA; FDIC-11-055b; Issued: 6/2/11 – PDF Covenant Bank, Chicago, IL; FDIC-11-022b; Issued: 6/6/11 – PDF Kenney Bank and Trust, Kenney, IL; FDIC-11-163b; Issued: 6/3/11 – PDF Vermont State Bank, Vermont, IL; FDIC-11-133b; Issued: 6/6/11 – PDF PBI Bank, Louisville, KY; FDIC-11-145b; Issued: 6/24/11 – PDF Peoples State Bank of Madison Lake, Madison Lake, MN; FDIC-11-185b;… [read post]
29 Jul 2011, 11:39 am
“Financial Institutions” are broadly defined to include depository institutions, institution-affiliated parties (like captive brokerage affiliates and private banks), federal and state credit unions and benefit associations, insurance companies, safe deposit companies, money market funds or similar entities authorized to do business in California.[1] “Account” is just as broadly defined and includes, demand deposit accounts, share or share drafts… [read post]
28 Jul 2011, 2:00 am
(“Sims”), an Australian company. [read post]
