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Policies & Regulatory Compliance News

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136-150 of 372 results
SEC fines Ernst & Young for auditor independence rules violation
By BBR Staff Writer
Ernst & Young has been fined by the US Securities and Exchange Commission (SEC) for violation of auditor independence rules that seeks firms to maintain their objectivity and impartiality with customers.
Policies & Regulatory Compliance > News
Citi, US regulators reach $7bn settlement over shoddy mortgages sale
By BBR Staff Writer
Citigroup is set to announce a $7bn deal with the US authorities today aimed at settling an investigation into its alleged sale of private-label mortgage-backed securities in the run-up to the 2008 financial crisis.
Policies & Regulatory Compliance > News
Commerzbank likely to pay up to $800m to resolve US probe
By BBR Staff Writer
German banking and financial services company Commerzbank is likely to pay between $600m and $800m to settle a probe into its alleged dealings with countries sanctioned by the US.
Policies & Regulatory Compliance > News
European Commission clears Alpha Bank’s restructuring plan
By BBR Staff Writer
The European Commission has cleared the proposed restructuring of Greece's Alpha Bank through further downsizing of international operations and a reinforcement of local operations.
Policies & Regulatory Compliance > News
LSEG, Wipro join forces to launch a hosted enterprise reconciliation utility
By BBR Staff Writer
London Stock Exchange Group (LSEG) and Wipro have entered into a strategic partnership to provide a hosted, end-to-end reconciliation solution for the financial services industry.
Policies & Regulatory Compliance > News
ECB reveals further details of targeted longer-term refinancing operations
By BBR Staff Writer
The Governing Council of the European Central Bank (ECB) decided on further technical details of a series of targeted longer-term refinancing operations (TLTROs), announced on 5 June 2014.
Policies & Regulatory Compliance > News
SunTrust agrees to pay $320m to settle HAMP mortgage modification probe
By BBR Staff Writer
SunTrust Mortgage has signed an agreement with the US Department of Justice (DoJ) to settle a criminal investigation of its administration of the Home Affordable Modification Program (HAMP) from 2009 to 2010.
Policies & Regulatory Compliance > News
SEC fines five traders for short selling violations
By BBR Staff Writer
The Securities and Exchange Commission charged five traders for committing short selling violations while trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based proprietary firm that earlier this year paid the largest-ever monetary sanction for Rule 105 violations.
Policies & Regulatory Compliance > News
BlueBay chooses Confluence NXT regulatory reporting solution
By BBR Staff Writer
Confluence, the global leader in investment data management automation, announces that BlueBay Asset Management, a leading specialist manager of fixed income and alternative investment products, has chosen Confluence's Unity NXT regulatory reporting solutions to automate its data reporting processes, both to comply with current regulatory demands and in anticipation of future ones.
Policies & Regulatory Compliance > News
BNP Paribas agrees to pay $8.97bn to settle US sanctions violations probe
By BBR Staff Writer
BNP Paribas has agreed to pay a penalty of $8.97bn to the US authorities to resolve investigation relating to US dollar (USD) transactions involving parties subject to the US economic sanctions.
Policies & Regulatory Compliance > News
SEC implements cross-border security-based Swap rules
By BBR Staff Writer
The Securities and Exchange Commission adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants.
Policies & Regulatory Compliance > News
CSA adopt amendments to modernize investment fund rules
By BBR Staff Writer
The Canadian Securities Administrators (CSA) published final amendments to National Instrument 81-102 Mutual Funds (NI 81-102) and related consequential amendments, as part of the CSA's Modernization of Investment Fund Product Regulation Project.
Policies & Regulatory Compliance > News
GE Capital Retail agrees to $169m settlement over unfair credit card lending allegations
By BBR Staff Writer
GE Capital Retail Bank has reached a $169m settlement with the US Department of Justice (DoJ) and the Consumer Financial Protection Bureau (CFPB) to resolve allegations of credit card lending discrimination.
Policies & Regulatory Compliance > News
BlackRock, PIMCO sue six trustees over mortgage securities losses
By BBR Staff Writer
An investor group led by BlackRock and Pacific Investment Management Co (PIMCO) have filed lawsuits against six banks for their roles as trustees in originating and selling mortgage-backed securities in the run-up to 2008 financial crisis.
Policies & Regulatory Compliance > News
SunTrust, US regulators reach settlement on abusive mortgage practices
By BBR Staff Writer
SunTrust Banks has reached a definitive agreement with the US Department of Justice (DoJ) and the Department of Housing and Urban Development (HUD) to settle allegations of improper mortgage origination and servicing practices.
Policies & Regulatory Compliance > News
136-150 of 372 results