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Current RefinementsContent TypeNewsDate2012SectorPolicies & Regulatory ComplianceRemove all refinements DateJanuary (2)February (3)April (1)May (1)June (1)AuthorBBR Staff Writer (7)LocationEurope (2)North America (7)
Search Results: News > 2012 > Policies & Regulatory Compliance
1-8 of 8 results
FINRA fines Merrill Lynch $2.8m for overcharging customers
By IB Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch, Pierce, Fenner & Smith $2.8m for overcharging customers $32m in unwarranted fees, and for failing to provide certain required trade notices.
Wealth & Assets Management > Asset Management > News
FINRA fines Citigroup Global Markets $3.5m for inaccurate RMBS data
By IB Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Citigroup Global Markets $3.5m for providing inaccurate mortgage performance information related to subprime residential mortgage-backed securitizations (RMBS).
Wealth & Assets Management > Asset Management > News
FINRA fines David Lerner Associates $2.3m for supervisory violations
By IB Staff Writer
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
Britton & Koontz Bank inks agreement with OCC
By IB Staff Writer
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.
Risk Management > News
FSA fines Merrill Lynch ex-corporate broker over insider trading
By IB Staff Writer
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.
Wealth & Assets Management > Asset Management > News
FINRA charges Charles Schwab for violating customer agreement rules
By IB Staff Writer
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
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
Citigroup fined for undisclosed conflicts of interest in research reports
By IB Staff Writer
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

BBR White Paper Recommendations

Revenue Leakage – Opportunity Calling! By Suntec
Revenue Leakage has been a universal phenomenon, gnawing up the profit margins of transaction-based industries, especially across their business support systems. Though the Banking industry people are particularly quick in acknowledging the glaring prevalence of revenue leakage, they are not able to pinpoint its source or quantity, or chart methodologies to ensure Revenue Assurance.... Banking Services > Commercial Banking > White Papers Customer Profitability Vs. Customer Satisfaction: Keep Guessing or Model your Pricing Strategies By Suntec
Most financial institutions do not have a clear understanding of what or who drives their profitability. They make assumptions or guesswork, and most of the time, try and fix their profitability metrics into the 80/20 rule or something similar — the majority of profits (80%) come from a minority (20%) of customers, products or business segments. Is profitability as simple as this? While there is no denying the 80/20 rule, how does an organization find this 20%? ... Banking Services > Commercial Banking > White Papers Banks - Reward Your Customers Incrementally, Based on Their Profitability By Suntec
Financial Institutions (FI) are on the verge of a strategic make-over. The market conditions imply an increased need to generate revenues and customer profitability, to ensure sustainability and future business success. In order to achieve these objectives, the FIs need to devise strategies that leverage customer relationships in a way that has never been done before. ... Banking Services > Commercial Banking > White Papers Achieving Measurable Gains by Automating Claims Processing By Kofax
Moving to a fully automated process is a goal for claims processing of nearly all insurance executives. Companies are at various levels of automation and often do not have an appropriate strategy to achieve higher levels of automation. This white paper identifies seven levels of claims automation and provides a roadmap that can be followed to enhance claims processing. This straightforward approach can be used to increase the likelihood of successful automation. Download this free white paper from Kofax to find out more.... White Papers Customer Centricity: The Key to Success in Retail Banking By Kofax
The economic slowdown has forced many banks to redirect their focus to retail banking and reinvent themselves as customer-centric organizations. But many institutions still use legacy infrastructures and processes that hinder necessary readjustments, in particular with regard to information exchange and customer communication. This white paper explains how these difficulties can be overcome, and how banks and financial institutions can reengineer core IT and business processes to support their business objectives. Download this free white paper from Kofax to find out more.... White Papers See more
1-8 of 8 results



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