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19 Jan 2012, 11:34 am
Securities and banking trade groups have responded to a Department of Labor request for assistance in developing an expanded regulatory impact analysis of a proposed change to the DOL’s long-standing definition of fiduciary. [read post]
8 Jan 2021, 7:11 am
FinCEN is proposing to adopt these requirements pursuant to the Bank Secrecy Act (“BSA”). [read post]
8 Jan 2021, 7:11 am
FinCEN is proposing to adopt these requirements pursuant to the Bank Secrecy Act (“BSA”). [read post]
24 Jan 2011, 8:40 am
The Securities Industry and Financial Markets Association, which represents securities firms, banks and asset managers, does not like the report. [read post]
11 Jan 2012, 8:03 pm
This posting was written by Darius Sturmer, Editor of CCH Trade Regulation Reporter.A company in the business of aggregating and publishing bank rate tables listing interest rates from financial institutions could have unlawfully monopolized or attempted to monopolize the market for bank rate websites, but had not engaged in a predatory price fixing conspiracy, the federal district court in Newark, New Jersey, has ruled.A complaining competitor adequately alleged that the company… [read post]
16 Oct 2022, 1:32 pm
Does Chase ask every customer what politicians they support and why before deciding whether or not to accept them as a customer? [read post]
3 Sep 2008, 9:11 pm
Among other things, the SEC accused the brokers of telling customers that the auction-rate securities which they were selling were safe and liquid alternatives to bank deposits or money market funds and were backed by insured student loans. [read post]
18 Dec 2019, 9:57 pm
A couple of months after Henderson started his new position, the man allegedly started swiping money that came from deposits made by customers of the bank. [read post]
12 Jul 2008, 4:25 pm
One example of pretexting would be using a false identity while phoning a bank to elicit a bank customer's personal account information. [read post]
4 Apr 2012, 7:56 am
In my next life I want to grow up to be a big bank. [read post]
4 Apr 2012, 2:56 am
In my next life I want to grow up to be a big bank. [read post]
18 Oct 2011, 7:32 pm
Community Bank, which has 17 branches throughout Manatee and four other southwest Florida counties, is joining the outcry against bank debit fees by offering new customers the opposite: a monthly payment. [read post]
15 Aug 2010, 11:36 am
Foreign financial institutions seeking to offer them to retail customers within the United States will now have to offer such contracts through one of the other legal mechanisms available under the CEA for accessing U.S. retail customers. [read post]
28 Mar 2010, 8:07 am
The proposal would have permitted: “Research personnel Investment Banking personnel to communicate with each other, outside the presence of internal legal or compliance staff, regarding market or industry trends, conditions or developments, provided that such communications are consistent in nature with the types of communications that any analyst might have with investing customers. [read post]
12 Mar 2018, 9:01 pm
“The issue was discovered through investigation of a customer complaint regarding foreign material,” according to the recall notice on the regional food bank’s website. [read post]
18 Sep 2009, 6:00 am
A report released on Monday by Public Citizen found that 75% of eight major industries require customers to sign pre-dispute arbitration agreements, including banks, cable/internet providers, home builders, and car dealerships. [read post]
20 Jun 2023, 4:44 am
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog) The Financial Professionals Coalition, Ltd. [read post]
12 Feb 2014, 4:35 am
Prior to her stint as on the DPS school board, Banks was a mathematics teacher. [read post]
20 Feb 2007, 7:02 pm
In the last few months, the SEC has eased guidance on Sarbox 404, the PCAOB has announced a potential repeal of AS2, the Department of Justice has renounced some of the tactics used to prosecute companies, and banking regulators have dropped plans to have banks police their corporate customers. [read post]
5 May 2008, 12:18 pm
The new law will have implications on how banks handle LLC customers and how banks handle their own LLC subsidiaries. [read post]
