Vanguard Compliance: Over 10% Bank Stock Rule
Learn about the compliance agreement requiring firms like Vanguard to adhere to regulations when owning over 10% of a bank's stock.
Topic
Compliance
A collection of 21 issues
New Compliance Agreement for Holdings Over 10% in FDIC Banks
Discover the new compliance agreement akin to Vanguard's, affecting investments over 10% in FDIC-supervised banks. Stay informed on regulatory changes.
BlackRock Negotiates FDIC Compliance Agreements
BlackRock is in talks with the FDIC over compliance agreements affecting regulatory oversight, following Vanguard's lead. Learn more about the potential impacts.
BlackRock Affirms Compliance with Federal Investment Rules
BlackRock asserts adherence to passive investment commitments with the Federal Reserve, avoiding control over FDIC-supervised institutions. Learn more about BlackRock's investment strategy.
Delay in New Registration System Implementation
The implementation of a new registration system, set to replace the Unified Registration System, faces delays due to unavailability. Stay informed on compliance updates.
New Rules Impact Financial Security Standards
Discover the latest financial regulations: $75,000 minimum security, sureties' role in insolvency, and enforced compliance on financial providers.
FMCSA Delays Compliance for Financial Responsibility Rule
FMCSA postpones compliance deadlines for Broker and Freight Forwarder Financial Responsibility provisions to January 2026. Learn more about the impact.
Hefty Fines for Recall Order Violations
Companies face fines up to €250,000 ($259,925) per violation for non-compliance with the recall order, emphasizing strict legal penalties.
Stellantis' FCA US Settles Emissions Case for $4.2 Million
Stellantis' FCA US resolves California emissions investigation with a $4.2 million settlement, addressing compliance issues in vehicle emissions standards.
DraftKings Fined for Unapproved Bets, Voids $61,000
DraftKings faces compliance issues, voiding $61,000 in bets after accepting wagers on unapproved events. Learn about the fines and their impact on the betting industry.