Regulatory Alerts2012-07-06
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Bulletin 2524 - July 6, 2012
The Connecticut Department of Banking solicits written public comments on a branch application filed by Bank of England for a limited branch in Berlin, CT, requiring submissions within ten days. Additionally, the Banking Commissioner entered a Consent Order with UVEST Financial Services Group, Inc., fining the firm $14,150.94 for materially aiding in unregistered broker-dealer and investment advisory activities. The order directs UVEST to cease and desist from such violations as part of a global settlement involving Bankers Life and Casualty Company.
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