US: SEC obtains final Judgment on former Credit Rating Agency for internal Control Failures
www.findknowdo.com/news/06/08/2022/sec-obtains-final-judgment-former-credit-rating-agency-internal-control-failures?utm 0
Continue reading
Home » Posts taggedBanking (Page 42)
Peru: Amendments to the Banking Law
www.globalcompliancenews.com/2022/06/06/peru-amendments-to-the-banking-law270522/#page=1mafirma.pe/es/noticias/1242-modificaciones-a-la-ley-general-del-sistema-financiero 0
Continue reading
US: Broker-Dealer settles FINRA Charges for Supervisory Failures over Sales of Mutual Fund Share Classes with 15 million USD
www.findknowdo.com/news/06/03/2022/broker-dealer-settles-finra-charges-supervisory-failures-over-sales-mutual-fund-share-classes?utm 0
Continue reading
Colombia: AML/TF Rules for regulated Entities amended
www.hklaw.com/en/insights/publications/2022/06/se-actualizan-instrucciones-de-gestion-de-riesgo-laft 0
Continue reading
Risk Management: Compliance Risks of Digital Banks
www.wolterskluwer.com/en/expert-insights/apac-digital-banks-speed-to-market-with-sustainable-success See also:www.davispolk.com/sites/default/files/2021-06/2021_financial_services_compliance_combined.pdfwww.globalbankingandfinance.com/the-scope-and-complexities-of-risk-management-in-financial-services/www.whitecase.com/publications/insight/latin-america-focus-fall-2022-five-ways-fintechs-compliance 0
Continue reading
US: Court Dismissal of Securities Class Action against Bank for Failure to disclose deteriorating Bond Market Conditions
www.lit-sl.shearman.com/First-Circuit-Affirms-Dismissal-Of-Putative-Securities-Class-Action-Against-Bank-For-Alleged-Failure#page=1 0
Continue reading
Israel: Banks can not unreasonably refuse Transactions involving Crypto
bit.ly/3O0Z1fN 0
Continue reading
UK: Tax rule Change may encourage Investment Managers to hold Cryptoassets
blog.macfarlanes.com/post/102hpir/tax-rule-change-may-encourage-uk-investment-managers-to-hold-cryptoassetswww.cadwalader.com/brass-tax/index.php?nid=57&eid=222 0
Continue reading
Germany: Negative interest Rates and Litigation – Court Outcomes
www.taylorwessing.com/fr/insights-and-events/insights/2022/05/negative-interest-rates-and-litigation-in-germany-court-outcomeswww.taylorwessing.com/zh-hant/insights-and-events/insights/2022/05/negative-interest-rates-and-litigation-in-germany-court-outcomesasd-law.com/news/aktualisierung-bgh-urteil-zu-negativzinsen/www.advant-beiten.com/de/blogs/bfk/bgh-keine-negativzinsen-ohne-ausdrueckliche-regelung 0
Continue reading
US: Investment Adviser settles SEC Charges for Failing to Disclose Revenue Sharing Payments with 1.8 million USD Payment
www.findknowdo.com/news/05/19/2022/investment-adviser-settles-sec-charges-failing-disclose-revenue-sharing-payments?utm 0
Continue reading