Search for: "BNP PARIBAS SECURITIES CORP."
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31 Jul 2023, 11:26 am
The SEC and CFTC have been probing BNP Paribas Securities Corp., the bank’s U.S. registered broker-dealer, over its “compliance with records preservation requirements relating to the use of unapproved electronic messaging platforms for business communications,” according to the earnings report. [read post]
30 Jun 2015, 8:37 am
BNP Paribas Securities Corp. [read post]
27 Aug 2018, 12:19 pm
utm_source=govdeliveryCFTFC issued an Order filing and settling charges against BNP Paribas Securities Corp. for attempted manipulation of the ISDAFIX benchmark and requiring BNP Paribas to pay a $90 million civil monetary penalty. [read post]
18 Oct 2019, 4:41 am
ITG Inc., Respondent (FINRA Arbitration Decision)FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures (FINRA Release)Former Director of Corporate La... [read post]
29 Apr 2019, 12:55 pm
(BARC), BNP Paribas Securities Corp., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
28 Mar 2007, 12:04 pm
Two defendants in the case In re Parmalat Securities Litigation, namely Banca Nazionale del Lavoro SpA (BNL, now part of the BNP Paribas Group (Euronext: BNP; OTC: BNPQY)) and Credit Suisse Group (SWX: CSGN; NYSE: CS) and other Credit Suisse entities, have agreed to settle the case against them. [read post]
20 Mar 2013, 3:53 am
Corp Fin Issues Rare Section 402 No-Action Letter Each time a new no-action response emerges from Corp Fin, I take a quick look. [read post]
6 Aug 2012, 6:49 am
., Morgan Stanley, BNP Paribas, Royal Bank of Canada and Societe Generale. [read post]
6 Aug 2012, 6:49 am
., Morgan Stanley, BNP Paribas, Royal Bank of Canada and Societe Generale. [read post]
6 Aug 2012, 6:49 am
., Morgan Stanley, BNP Paribas, Royal Bank of Canada and Societe Generale. [read post]
8 Aug 2023, 9:31 am
Separately, the Commodity Futures Trading Commission announced settlements with Wells Fargo Bank NA, Wells Fargo Securities, LLC, BNP Paribas Securities Corp., BNP Paribas S.A., SG Americas Securities, LLC, Société Générale S.A., Bank of Montreal, and Wedbush Securities Inc., for related conduct. [read post]
8 Aug 2023, 12:22 pm
Fines for other firms—including Bank of Montreal, BMO Capital Markets Corp., BNP Paribas, Houlihan Lokey Capital, Inc., Mizuho Securities USA, Moelis & Company LLC, SMBC Nikko Securities America, Inc., Société Générale, and Wedbush Securities Inc. [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
14 Jul 2014, 9:28 am
The Citigroup settlement comes on the heels of the $8.9 billion settlement between the DOJ and BNP Paribas, the French bank that pled guilty to criminal charges relating to a violation of U.S. sanctions. [read post]
20 Jun 2017, 7:04 am
Notably, 10 of the 80 Equator Principles financial institutions — including ABN Amro and BNP Paribas — recently issued a statement calling for application of the IFC Performance Standards in high-income countries. [read post]
20 Mar 2012, 2:48 pm
The subsidiary obtained funds for mortgage lending for Taylor Bean through the sale of asset-backed commercial paper to financial institutions, including Deutsche Bank and BNP Paribas. [read post]
18 Jul 2008, 4:26 pm
The complete list of firms for which there can be no naked short selling follows: BNP Paribas Securities Corp. [read post]
28 Aug 2012, 10:03 pm
., BNP Paribas, Morgan Stanley, Royal Bank of Canada and Societe Generale, numerous bonds became subject to review and subsequent downgrades. [read post]
9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay… [read post]
26 Oct 2020, 11:18 am
[xi] The same day, BNP Paribas announced a partnership “to design a number of real-time trade and settlement apps using … smart contracts. [read post]
