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16 Apr 2012, 11:00 pm
The JOBS Act provides new exemptive and other relief under the federal securities laws for smaller businesses trying to raise capital and substantially eases the regulatory burden on banks and bank holding companies by increasing the thresholds for registration and deregistration under the Securities Exchange Act of 1934 ("Exchange Act"). [read post]
25 Feb 2011, 2:02 am
Korea Exchange said Friday that it had decided to impose a record fine of 1 billion won on the local subsidiary of Deutsche Bank for breaching the rules of the bourse during an enormous stock sell-off last November. [read post]
20 Oct 2011, 6:57 am
At a Senate Banking subcommittee hearing held today, the SEC announced that it was launching a sweeping review of exchange-traded funds. [read post]
10 Feb 2021, 12:47 pm
Hershel Waites, a foreign exchange sales trader at M&T Bank, joined the advisory board of Reading Partners Baltimore. [read post]
25 Jun 2009, 9:00 am
Taxation - On June 12, 2009, France and Switzerland agreed to amend their existing bilateral tax treaty by adding a provision that allows the exchange of bank information for tax purposes, bringing the treaty up to the standard... [read post]
13 Jun 2007, 6:20 am
The following exchange amused me:"Q. [read post]
1 Feb 2015, 6:00 am
The SEC also proposed rules that would implement higher thresholds for termination of registration and suspension of reporting for banks and bank holding companies and savings and loan holding companies. [read post]
22 Sep 2020, 7:13 am
On Wednesday, September 16, 2020, the cryptocurrency exchange Kraken Financial became the first crypto company to obtain a bank charter. [read post]
1 Apr 2010, 4:21 am
Allegedly between 2003 and 2008, the bank failed to prevent two cocaine trafficking cartels from laundering money through Mexican exchange houses. [read post]
26 Oct 2007, 4:48 am
Commerce Bancorp said Thursday that the Securities and Exchange Commission was investigating insider dealings at the company in a reprise of a probe by federal bank regulators that led to the ouster in June of founder Vernon W. [read post]
14 Oct 2007, 12:28 am
The Reserve Bank of Australia, following a directive from the Australian Government under the Banking (Foreign Exchange) Regulations 1959, currently administers financial sanctions against certain individuals associated with the former government of the Federal Republic of Yugoslavia and the Government of Zimbabwe. [read post]
22 Feb 2018, 3:01 pm
On February 12, 2018, the Securities and Exchange Commission (“SEC”) instituted an enforcement action against Deutsche Bank Securities Inc. [read post]
11 Nov 2013, 12:37 pm
November 11, 2013 In one of the most interesting stories that caught my eye on my daily media sweep today, the Wall Street Journal is reporting that some of the U.S. big banks are considering blocking employees from computer chat rooms, based on growing market manipulation and collusion scrutiny from regulators (see: Big Banks May Block Traders From Chat Rooms). [read post]
20 Jan 2017, 5:05 am
-affiliated individuals have undeclared Swiss bank accounts. [read post]
15 Mar 2023, 7:29 am
The Justice Department and the Securities and Exchange Commission have launched investigations into the collapse of Silicon Valley Bank. [read post]
27 Apr 2011, 11:21 am
Morgan Chase andamp; Co., HSBC Holdings plc, Barclays Bank plc, Lloyds Banking Group plc, WestLB AG, UBS AG, Royal Bank of Scotland Group plc, Deutsche Bank AG, The Norinchukin Bank, and Citibank, N.A., have been named in two separate class actions alleging fraud and the manipulation of LIBOR Rates and Exchange Traded LIBOR Based Derivatives. [read post]
22 Apr 2009, 4:19 am
In exchange for the money doled to banks under TARP, the government received "warrants" that allow the Treasury to buy common stock in the banks at [...] [read post]
25 Aug 2009, 6:00 am
Securities and Exchange Commission it must be sold or liquidated by September 30th. [read post]
30 Jul 2012, 7:39 am
Much like stocks or exchange-traded funds (ETFs), ETNs are traded throughout the market day. [read post]
15 Feb 2018, 7:53 am
Last week, the Securities and Exchange Commission (SEC), brought an enforcement action against Deutsche Bank Securities Inc., forcing the bank to repay more than $3.7 million to customers, including $1.48 million that was ordered as disgorgement. [read post]
