US: Broker-Dealer settles Charges with State Regulators for “Unreasonable Commissions”
www.findknowdo.com/news/07/13/2023/broker-dealer-settles-charges-state-regulators-unreasonable-commissions 0
Continue reading
Home » Archive by categoryBanking (Page 17)
US: IRS begins probe of Puerto Rico Relief Claims
www.irs.gov/businesses/corporations/lbi-active-campaignstaxlitigator.files.wordpress.com/2023/07/blog-post_puerto-rico-tax-break-controversy_final.pdfarchive.ph/WVTK8Caplin & Drysdale Law Firm | Since 1964 (caplindrysdale.com)IRS Criminal Investigation Targeting Puerto Rico Act 20/22/60 Participants | Meadows, Collier, Reed, Cousins, Crouch & Ungerman, L.L.P. – Attorneys at Law (meadowscollier.com)IRS Enforcement Efforts in Puerto Rico Gaining Steam – Wave of Cases Expected | BakerHostetler (bakerlaw.com)IRS Targets High-Income...
Continue reading
US: Bank Settles OCC and CFPB Charges for Improper Fees and Deceptive Practices with Payments of 60 Million USD each
www.findknowdo.com/news/07/12/2023/bank-settles-occ-and-cfpb-charges-improper-fees-and-deceptive-practicesFake Bank of America Accounts Lead to Real Penalties from CFPB – The State AG Report 0
Continue reading
US: Broker-Dealer fined with 6 million USD for Failure to file SARs
www.findknowdo.com/news/07/11/2023/broker-dealer-fined-failure-file-sars See also:Broker Dealer Fined for Failing to File SARs | Find Know Do 0
Continue reading
Cayman: Court makes winding up Order in respect of foreign registered Silicon Valley Bank
Cayman Court makes winding up order in respect of foreign registered Silicon Valley Bank | OgierCayman Islands SVB update for start-ups and founders | Carey Olsen 0
Continue reading
US: AI Model Diligence – Steps for Financial Institutions to manage Model Risk
AI Model Diligence: 3 Steps for Financial Institutions to Manage Model Risk (orrick.com) 0
Continue reading
Australia: A locally controlled foreign Trading Company – is it considered local?
A locally controlled foreign trading company – must it call Australia home? – KHQ Lawyers 0
Continue reading
US: Broker-Dealer expelled from FINRA for excessive Trading and Reg BI and Form CRS Violations
www.findknowdo.com/news/07/07/2023/broker-dealer-expelled-finra-excessive-trading-and-reg-bi-and-form-crs-violations 0
Continue reading
Argentina: Securities Commission includes Transactions in Renminbi among Restrictions applicable to Agents for Proprietary Trading
Argentine Securities Commission Includes Transactions in Renminbi Among Restrictions Applicable to Agents for Proprietary Trading (marval.com) 0
Continue reading
US: Nevada amends Licensing and Regulation Provisions
Nevada amends licensing and regulation provisions | Buckley LLP Infobytes Blog (buckleyfirm.com)Nevada expands collection agency licensing requirements | Buckley LLP Infobytes Blog (buckleyfirm.com) See also:Connecticut joins states enacting commercial financing disclosures and lender and broker registration requirements | Buckley LLP Infobytes Blog (buckleyfirm.com)Connecticut Becomes Latest State to Enact...
Continue reading