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FINRA fines David Lerner Associates $2.3m for supervisory violations
The Financial Industry Regulatory Authority (FINRA) has imposed a fine of $2.3m on US-based brokerage David Lerner Associates (DLA) for the markup and related supervisory violations.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
Britton & Koontz Bank inks agreement with OCC
Britton & Koontz Bank, a wholly-owned subsidiary of Britton & Koontz Capital, has signed an agreement with Comptroller of the Currency of the US (OCC), under which the Bank has agreed to improve its asset quality, credit risk exposure, strategic planning initiatives, and capital planning.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FSA fines Merrill Lynch ex-corporate broker over insider trading
The UK Financial Services Authority (FSA) has imposed a financial punishment of £350,000 ($550,000) against Andrew Osborne, former corporate broker at Merrill Lynch International for disclosing inside information ahead of an equity fundraising by Punch Taverns (Punch) in June 2009.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FINRA charges Charles Schwab for violating customer agreement rules
The Financial Industry Regulatory Authority (FINRA) has charged Charles Schwab & Company for violating FINRA rules by requiring its customers to waive their rights to bring class actions against the firm.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FINRA fines Merrill Lynch $1m for failing to arbitrate disputes with employees
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch, Pierce, Fenner & Smith $1m for failing to arbitrate disputes with employees relating to retention bonuses.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
Citigroup fined for undisclosed conflicts of interest in research reports
Citigroup Global Markets has been fined $725,000 by the Financial Industry Regulatory Authority (FINRA) for not disclosing certain potential conflicts of interest in its research reports published from January 2007 through March 2010.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FINRA fines Credit Suisse Securities $1.75m over short sales
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) $1.75m for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FINRA fines Barclays Capital $3m for subprime mortgage failures
The Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital $3m for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS).
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FINRA fines Wells Fargo $2m for unsuitable sales to elderly customers
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Investments $2m for unsuitable sales of reverse convertible securities and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
Integrated Financial fined for client money breaches
Integrated Financial Arrangements has been fined by the Financial Services Authority (FSA) for breaching client money rules for a significant period of time and failing to protect client money.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
Nordea fined over bonus structure discrepancies
Nordea Bank and Nordea Investment Management have been fined by Sweden’s Financial Supervisory Authority (FSA) due to deficiencies in their bonus structures.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FSA fines HSBC GBP10.5m for mis-selling products to elderly customers
The Financial Services Authority (FSA) has fined HSBC GBP10.5m for inappropriate investment advice provided by one of its subsidiaries, NHFA to elderly customers.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FINRA fines eight firms for improper private placement sales
The Financial Industry Regulatory Authority (FINRA) has fined eight firms and 10 individuals for selling interests in private placement offerings without conducting a reasonable investigation.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FSA arrests two unauthorised financial advisers
The Financial Services Authority (FSA) has arrested two individuals suspected of providing financial advice when not authorised to do so and making misleading statements to investors.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
FSA fines hedge fund compliance officer
The Financial Services Authority (FSA) has fined hedge fund compliance officer Sandradee Joseph £14,000 for failing to act with due skill, care and diligence.
Policies & Regulatory Compliance > News
Policies & Regulatory Compliance > News
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Allianz SE - Financial and Strategic Analysis Review
Allianz SE (Allianz) is one of the leading global financial services providers, offering a range of banking, asset management and insurance services. The company was formerly known as Allianz AG. Allianz is the parent company for the Allianz Group of companies. The company is one of leading insurance providers in the property and causality, and life insurance in the global market. Allianz is one of the major players in the German insurance market. The company, combined with its subsidiaries, serves over 75 million customers in more than 70 countries across Europe, Asia-Pacific, America and Africa. The company's banking operations are conducted through Dresdner Bank AG and its subsidiaries. Global Markets Direct’s Allianz SE - Financial and Strategic Analysis Review is an in-depth business, strategic and financial analysis of Allianz SE. The report provides a comprehensive insight into the company, including business structure and operations, executive biographies and key competitors. The hallmark of the report is the detailed strategic analysis of the company. This highlights its strengths and weaknesses and the opportunities and threats it faces going forward. Buy online from $125
Allianz SE (Allianz) is one of the leading global financial services providers, offering a range of banking, asset management and insurance services. The company was formerly known as Allianz AG. Allianz is the parent company for the Allianz Group of companies. The company is one of leading insurance providers in the property and causality, and life insurance in the global market. Allianz is one of the major players in the German insurance market. The company, combined with its subsidiaries, serves over 75 million customers in more than 70 countries across Europe, Asia-Pacific, America and Africa. The company's banking operations are conducted through Dresdner Bank AG and its subsidiaries. Global Markets Direct’s Allianz SE - Financial and Strategic Analysis Review is an in-depth business, strategic and financial analysis of Allianz SE. The report provides a comprehensive insight into the company, including business structure and operations, executive biographies and key competitors. The hallmark of the report is the detailed strategic analysis of the company. This highlights its strengths and weaknesses and the opportunities and threats it faces going forward. Buy online from $125
