US: Broker-Dealer fined for Inadequate vetting of Nonregistered Employees
www.finra.org/newsroom/2017/finra-fines-jp-morgan-125-million-failing-screen-its-employees 0
Continue reading
Home » Archive by categoryBanking (Page 93)
US: Presentation and portability of Investment Adviser Performance
www.foley.com/presentation-and-portability-of-investment-adviser-performance-11-07-2017/ See also: Click to access Investment-Adviser-Performance-Marketing-and-Advertising-What-You-Need-to-Know-July-August-2012.pdf 0
Continue reading
China: Broadening Market Access for Foreign Investors in Financial Services
bit.ly/2BLKF12 www.elexica.com/en/legal-topics/asset-management/131117-chinas-financial-services-sector-4si4p4c www.kwm.com/en/knowledge/insights/further-opening-of-banking-industry-20171215 0
Continue reading
US: OCC Update Guidance on Branch Supervision and Enforcement Policies and Procedures
buckleysandler.com/blog/2017-11-02/occ-updates-guidance-federal-branch-supervision-and-enforcement-action-policies-and-procedures Click to access occ_bulletin_2017_48_updated_guidance_on_bank_enforcement_actions.pdf 0
Continue reading
South Africa: Who can sell financial products?
bit.ly/2yz8VkG 0
Continue reading
US: Large Bank to pay $4 Billion punitive damages for mishandling Estate
www.jdsupra.com/legalnews/the-story-of-the-4-billion-surcharge-11065/ www.law.com/sites/almstaff/2017/09/27/jp-morgan-hit-for-4-billion-over-mishandled-estate/ 0
Continue reading
US: OCC Releases Bank Supervision Operating Plan for Fiscal Year 2018
buckleysandler.com/blog/2017-10-05/occ-releases-bank-supervision-operating-plan-fiscal-year-2018 0
Continue reading
Switzerland: Obtaining third party data in Banking (Ger)
Click to access 2127.pdf See also: Swiss Banking veröffentlicht Leitfaden zum «Umgang mit Daten im Geschäftsalltag» 0
Continue reading
UK: FCA refers investment consultants to CMA for market probe
bit.ly/2hAZw5V www.professionaladviser.com/professional-adviser/news/3017303/fca-refers-investment-consultants-to-cma-for-market-probe www.burges-salmon.com/news-and-insight/legal-updates/investment-consultancy-probe-fca-makes-first-market-investigation-referral-to-cma/ www.fca.org.uk/news/press-releases/fca-makes-market-investigation-reference-investment-consultancy-services 0
Continue reading
US: SEC Announces Enforcement Division Cyber Specialty Unit
www.natlawreview.com/article/sec-announces-enforcement-division-cyber-specialty-unit www.huntonprivacyblog.com/2017/09/27/sec-creates-cyber-unit-to-target-cyber-related-threats/ bit.ly/2fOHwo2 SEC Announces Two Enforcement Initiatives Designed to Combat Cyber Threats www.sec.gov/news/press-release/2017-176 0
Continue reading