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Financial Industry Review

Financial Industry Review

Covers asset management, litigation, and rating agencies. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/financial/
  • Aug 3

    EBA Releases Key Information on EU G-SII

    EBA Releases Key Information on EU G-SII
    On July 28, the European Banking Authority (EBA) published a chart setting out the key metrics used to identify global systemically important institutions (G-SIIs) in the EU. The chart contains information on the size,…
  • Jul 27

    Morgan Stanley and Natixis Win Dismissal of RMBS Claim

    Morgan Stanley and Natixis Win Dismissal of RMBS Claim
    On July 14, 2015, Justice Friedman of the New York State Supreme Court for the County of New York granted in part Morgan Stanley & Co.’s motion to dismiss fraud claims brought by HSH Nordbank AG (“HSH”) and Carrera…
  • Jul 27

    Judge Scheindlin Denies Motion to Dismiss NCUA Claim

    Judge Scheindlin Denies Motion to Dismiss NCUA Claim
    On July 20, 2015, Judge Scheindlin of United States District Court for the Southern District of New York denied HSBC Bank USA, NA’s (“HSBC”) motion to dismiss claims brought by the National Credit Union Administration…
Rank this Week: 681

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Aug 3

    UBS Puerto Rico Investment Problems Expand

    UBS Puerto Rico Investment Problems Expand
    UBS’ involvement in Puerto Rico investments continues to explode, as the customer arbitrations against the firm start to heat up.  UBS has confirmed that FINRA and the SEC are not only looking into the recommendations of the funds,…
  • Aug 1

    The Treat That Could Bite Your Dog Back http://ift.tt/1eKuOzP

    The Treat That Could Bite Your Dog Back http://ift.tt/1eKuOzP
    The Treat That Could Bite Your Dog Back Problems have been reported with a brand of shrink-wrapped dog bone, but the real problem may be that all bones can represent a hazard to dogs.
  • Aug 1

    Converse Treads Carefully in Updating Well-Worn Chuck Taylor Brand http://ift.tt/1Diil1W

    Converse Treads Carefully in Updating Well-Worn Chuck Taylor Brand http://ift.tt/1Diil1W
    Converse Treads Carefully in Updating Well-Worn Chuck Taylor Brand The classic All Star has been a boon to Nike, which bought Converse in 2003. But as the shoe gets an update, the company is being cautious not to damage its appeal.
Rank this Week: 440

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 3

    Chief Compliance Officers: SEC Enforcement Debate

    Chief Compliance Officers: SEC Enforcement Debate
    SEC Chair White sought to quash increasing concerns – and temper a recent debate between Commissioners – about compliance officer liability in these recent remarks, wherein she indicated that the SEC did not intend to use its…
  • Jul 31

    ’34 Act Reports: Benchmarking Law Firm Bill

    ’34 Act Reports: Benchmarking Law Firm Bill
    I probably haven’t been touting our numerous checklists – over 300 of them now – sufficiently. For example, this one on “’34 Act Reports – Benchmarking Law Firm Bills” provides practical guidance…
  • Jul 30

    Pay Ratio Rules Coming Next Wednesday! (& Our “Pay Ratio Workshop” on August 25th!)

    Pay Ratio Rules Coming Next Wednesday! (& Our “Pay Ratio Workshop” on August 25th!)
    Last night, the SEC posted its Sunshine Act notice to adopt the pay ratio rules next Wednesday, August 5th. My blog on CompensationStandards.com gives a guess as to some of the rule’s final parameters. We want to help you get prepared…
Rank this Week: 622

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 3

    GAO Report Finds Rating-Analyst Organization Viewed as Premature

    GAO Report Finds Rating-Analyst Organization Viewed as Premature
    By Amy Leisinger, J.D.The U.S. Government Accountability Office (GAO) has issued a report on a Dodd-Frank-mandated study of the merits and feasibility of creating a professional organization responsible for establishing standards for, and…
  • Jul 31

    NASAA Backs Extending Fiduciary Duty to IRA

    NASAA Backs Extending Fiduciary Duty to IRA
    By John M. Jascob, J.D.NASAA has expressed support for a proposal by the Department of Labor that would extend the fiduciary duty standard of care to persons who provide investment advice to Individual Retirement Accounts (IRAs). In a comment…
  • Jul 30

    Human Trafficking Bill Would Add to Supply Chain Dutie

    Human Trafficking Bill Would Add to Supply Chain Dutie
    By Mark S. Nelson, J.D.A bill introduced by Rep. Carolyn Maloney (D-NY) would create new socially-themed disclosure obligations under the federal securities laws for many companies. The Business Supply Chain Transparency on Trafficking and…
Rank this Week: 846

InfoBytes Blog

InfoBytes Blog

Monitors and reports on news, legal developments and legislative actions affecting the financial services industry. By Buckley Sandler LLP.

http://www.infobytesblog.com/
  • Jul 31

    Update Regarding Marketing Services Agreements (“MSAs”)

    Update Regarding Marketing Services Agreements (“MSAs”)
    On Thursday, June 30, 2015, a CFPB spokesman issued a statement to HousingWire in response to the announcement by a large lender that it was terminating its MSAs: [This] decision to exit all marketing services agreements…
  • Jul 31

    Mead Johnson Nutrition Settles SEC FCPA Charges for $12 Million

    Mead Johnson Nutrition Settles SEC FCPA Charges for $12 Million
    On July 28, Mead Johnson Nutrition Co. (“Mead”), an infant formula maker, agreed to pay $12.03 million to settle civil FCPA charges with the SEC. The SEC alleged that a majority-owned subsidiary in China used discounts given to…
  • Jul 31

    Florida Appellate Court Rules Non-Signing Spouse in Reverse Mortgage is Protected from Foreclosure

    Florida Appellate Court Rules Non-Signing Spouse in Reverse Mortgage is Protected from Foreclosure
    On July 15, a three-judge panel of the Florida Third District Court of Appeal issued its opinion in Smith v. Reverse Mortgage Solutions, Inc., 2015 WL 4257632. In 2008, Mr. Smith took out a reverse mortgage on his home where he lived with his…
Rank this Week: 1254

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
  • Jul 31

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule
    On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information…
  • Jun 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
  • May 27

    Should Founders Subject Themselves to a Vesting Schedule?

    Should Founders Subject Themselves to a Vesting Schedule?
    When advising startup clients, I frequently recommend that they subject the shares issued to their founders (as well as those issued to any equity-compensated employees and contractors) to a vesting schedule. This conversation often leads the…
Rank this Week: 3072

Mortgage Fraud Blog

Mortgage Fraud Blog

Covers mortgage fraud information, fraud schemes and indictments. By Rachel Dollar.

http://mortgagefraudblog.com/
  • Jul 31

    Down Payment Programs Not a Scam, FHA to Tell Watchdog

    Down Payment Programs Not a Scam, FHA to Tell Watchdog
    Mortgage Fraud Blog. The Federal Housing Administration is expected to rebuff a government watchdog report that criticized down payment assistance programs, questioning why low-income borrowers are charged nominally higher mortgage rates for…
  • Jul 31

    Trial Continues in Case Against Real Estate Firm Co-Owner Accused of Ponzi Scheme

    Trial Continues in Case Against Real Estate Firm Co-Owner Accused of Ponzi Scheme
    Mortgage Fraud Blog. The trial of a Phoenix man accused of setting up a real estate Ponzi scheme during the Great Recession continued in Santa Ana on Tuesday. According to federal prosecutors who spoke with jurors at court, Michael J.…
  • Jul 31

    Valley Homeowners Say they Are Victims of Fraud

    Valley Homeowners Say they Are Victims of Fraud
    Mortgage Fraud Blog. The post Valley Homeowners Say they Are Victims of Fraud appeared first on Mortgage Fraud Blog.
Rank this Week: 3

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 31

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has issued its 2015 midyear report on securities class action filings. The findings for the first half of 2015 include: (1) There were 85 new…
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
  • Jun 19

    Big Verdicts and Big Appeal

    Big Verdicts and Big Appeal
    Securities class actions rarely go to trial.  When they do, as in the Household International case where the plaintiffs won a $2.46 billion verdict, they make the news.  But it is axiomatic that big verdicts lead to big…
Rank this Week: 2889

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Jul 31

    SEC Enforcement Actions Against Corporate Officers - Targeting or Responsible Monitoring?

    SEC Enforcement Actions Against Corporate Officers - Targeting or Responsible Monitoring?
    In SEC Chairwoman Mary Jo White's opening statement to about 1,000 broker-dealer compliance officials at the Annual Broker-Dealer Compliance Outreach Program, she was clearly dismissing a growing sense that compliance professionals are being…
  • Jul 24

    FINRA Amendments to Relax Filing Rules Governing Retail Communication

    FINRA Amendments to Relax Filing Rules Governing Retail Communication
    FINRA has recently released Regulatory Notice 15-16 which contains proposed amendments to the rules currently governing public communications they will make reporting by FINRA member firms regarding public communications less onerous due to…
  • Jul 15

    Proposed SEC Amendments to Form ADV and Rules Under the Investment Advisers Act

    Proposed SEC Amendments to Form ADV and Rules Under the Investment Advisers Act
    Amendments have been proposed to form ADV and certain rules under the Investment Advisers Act of 1940 that would have significant effects on reporting requirements for investment advisers. In addition to codification of "umbrella…
Rank this Week: 3356

AG Deal Diary

AG Deal Diary

A collection of insights and analysis on hot topics impacting companies, funds, dealmakers and directors. By Akin Gump.

http://www.akingump.com/en/experience/practices/corporate/ag-deal-diary/index.html
  • Jul 30

    Recommended Reading: The Dodd-Frank Act’s Fifth Anniversary

    Recommended Reading: The Dodd-Frank Act’s Fifth Anniversary
    On July 21, 2010 the Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law by President Obama. Here's the SEC's overview of which mandatory rulemaking provisions of the Dodd-Frank Act it has addressed so far:…
  • Jul 29

    7th Circuit Opens Door to Data Breach Class Action

    7th Circuit Opens Door to Data Breach Class Action
    On July 20, 2015, the U.S. Court of Appeals for the 7th Circuit issued an opinion that could dramatically change the class action landscape for companies that are victims of hackers. In Remijas v. Neiman Marcus Gp., the 7th Circuit…
  • Jul 29

    2015 Changes to Delaware Law Go into Effect

    2015 Changes to Delaware Law Go into Effect
    Amendments to the DGCL Several significant amendments to the Delaware General Corporation Law (DGCL) were signed into law on June 24, 2015, and will go into effect on August 1, 2015. Most significantly, these amendments: Prohibit…
Rank this Week: 2720

The Venture Alley

The Venture Alley

Covers business and legal issues for entrepreneurs, startups, venture capitalists and angel investors. By DLA Piper.

http://www.theventurealley.com
  • Jul 30

    Merger activity remains strong in Q3 2015; average deal size spike

    Merger activity remains strong in Q3 2015; average deal size spike
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com Earlier today PitchBook released its M&A Report for Q3 2015 and the stats indicate continued strength in merger and acquisition activity. While the overall deal count for Q2…
  • Jul 7

    Recap of Q2 2015 Venture Capital Activity by Region

    Recap of Q2 2015 Venture Capital Activity by Region
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com PitchBook just released its analysis of 2Q 2015 venture capital activity by region, focusing on the six of the most active U.S. regions: the Bay Area; Boston; New York; Los Angeles; the…
  • Jul 1

    SEC Proposes Clawback Rule

    SEC Proposes Clawback Rule
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com   The SEC has proposed rules requiring listed issuers to adopt and comply with written “clawback” policies. These policies would need to provide that, if a listed…
Rank this Week: 3791

Florida Banking Law Blog

Florida Banking Law Blog

Covers legal developments impacting banking, finance and loan enforcement in Florida. By Rogers Towers, PA.

http://www.floridabankinglawblog.com/
Rank this Week: 1490

RESPA Lawyer Blog

RESPA Lawyer Blog

Covers the Real Estate Settlement Procedures Act (RESPA). By Sterbcow Law Group LLC.

http://www.respalawyer.com/
  • Jul 29

    MARX STERBCOW INVITED TO SPEAK AT THE FIVE STAR TITLE AND CLOSING COALITION

    MARX STERBCOW INVITED TO SPEAK AT THE FIVE STAR TITLE AND CLOSING COALITION
    Marx Sterbcow, managing attorney of the Sterbcow Law Group, will discuss issues concerning the TRID rollout with Rich Horn of Richard Horn Legal on September 17, 2015 at the Five Star Conference's Title and Closing Coalition's Semi-Annual…
  • Jul 28

    CFPB CONSENT ORDER TARGETS YET ANOTHER MORTGAGE COMPANY FOR ADVERTISING VIOLATIONS

    CFPB CONSENT ORDER TARGETS YET ANOTHER MORTGAGE COMPANY FOR ADVERTISING VIOLATIONS
    The CFPB announced on Feb. 12, 2015 another consent order for issues involving a lender mortgage origination advertising practices. Flagship Financial Group, LLC was alleged to have made material misrepresentations in commercial…
  • Jul 28

    CFPB TARGETS MORTGAGE ORIGINATION ADVERTISING PRACTICES

    CFPB TARGETS MORTGAGE ORIGINATION ADVERTISING PRACTICES
    The Consumer Financial Protection Bureau has been sending strong messages across the real estate industry lately with its aggressive campaign against companies who they believe have made material misrepresentations which improperly suggested…
Rank this Week: 1209

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Jul 29

    A Successful Evening for Pillsbury and 100 Women in Hedge Fund

    A Successful Evening for Pillsbury and 100 Women in Hedge Fund
    Pillsbury hosted a panel event for 100 Women in Hedge Funds on July 28 discussing conflicts of interests hedge fund managers face in managing multiple account types, such as funds, institutional separate accounts and sub-advised mutual funds.…
  • Jul 23

    Proposed Treasury Regulations May End Private Equity Management Fee Waiver

    Proposed Treasury Regulations May End Private Equity Management Fee Waiver
    It has been a common practice of private equity firms to convert their right to receive management fees from the funds they manage into the right to receive profits and distributions from the funds through management fee waiver arrangements.…
  • Jul 23

    Thirteen States Call for More Transparency In Private Equity Expense Disclosure

    Thirteen States Call for More Transparency In Private Equity Expense Disclosure
    In a letter to SEC Chair Mary Jo White, the Treasurers and Comptrollers of 13 states have urged the SEC to crack down on private equity funds and require better disclosure of expenses to limited partners. Fees and expenses in the private…
Rank this Week: 3243

Payment Law Advisor

Payment Law Advisor

Provides legal commentary and resources for the payment industry. By Davis Wright Tremaine LLP.

http://www.paymentlawadvisor.com/
  • Jul 29

    CFPB Inserts Consumer Protection Issues into Faster Payment System Development

    CFPB Inserts Consumer Protection Issues into Faster Payment System Development
    The Consumer Financial Protection Bureau recently issued a series of Consumer Protection Principles to be considered as new, faster payment systems are being developed. The Rapidly Changing Regulatory Landscape for Faster Payments A number of…
  • Jul 15

    The CFPB and the Business of Insurance

    The CFPB and the Business of Insurance
    DWT payments team member Adam Maarec recently co-authored (with James C. Sivon) an article entitled “The CFPB and the Business of Insurance: An Analysis of the Scope of CFPB’s Authority Over Insurance Sales” in the Quarterly…
  • Jul 15

    Increased Risk for Buyers of Credit Card Loan

    Increased Risk for Buyers of Credit Card Loan
    Third party debt buyers may face increased threat of state-law class action lawsuits after a recent Second Circuit ruling prohibiting such debt buyers from invoking federal preemption defenses under the National Bank Act to defeat state-law…
Rank this Week: 804

Lenders 360

Lenders 360

Provides news, information and commentary on important issues affecting the financial services industry. By Higier Allen & Lautin, P.C.

http://www.lenders360blog.com/
  • Jul 28

    Sometimes Your Collateral is Source Code, which is Actually Nothing

    Sometimes Your Collateral is Source Code, which is Actually Nothing
    We are well out of the .com bubble, but tech companies still form and fail.  For the lenders brave enough to lend to the tech companies developing software, the collateral is often the source code which is the nuts and bolts of an…
  • Jun 14

    The Only Thing Worse Than a Claim in Bankruptcy is Claim Subordination

    The Only Thing Worse Than a Claim in Bankruptcy is Claim Subordination
    Claim subordination is the opposite of alchemy.  In most bankruptcy cases, creditors might look for ways to improve their treatment.  Claim subordination in the bankruptcy code provides a mechanism to force a creditor to receive…
  • Jun 7

    A Lender’s First Line of Defense May be the Debtor’s Own Chapter 11 Plan

    A Lender’s First Line of Defense May be the Debtor’s Own Chapter 11 Plan
    On occasion I have thought that a chapter 11 bankruptcy case is somewhat analogous to a trip on a plane in a few ways. Among other analogous events, consider checking a bag and then forgetting to pick it up on the conveyor belt after the…
Rank this Week: 1073

Lenders 360.

Lenders 360.

Covers business and legal issues affecting the financial services industry. By Winstead PC.

http://www.lenders360blog.com
  • Jul 28

    Sometimes Your Collateral is Source Code, which is Actually Nothing

    Sometimes Your Collateral is Source Code, which is Actually Nothing
    We are well out of the .com bubble, but tech companies still form and fail.  For the lenders brave enough to lend to the tech companies developing software, the collateral is often the source code which is the nuts and bolts of an…
  • Jun 14

    The Only Thing Worse Than a Claim in Bankruptcy is Claim Subordination

    The Only Thing Worse Than a Claim in Bankruptcy is Claim Subordination
    Claim subordination is the opposite of alchemy.  In most bankruptcy cases, creditors might look for ways to improve their treatment.  Claim subordination in the bankruptcy code provides a mechanism to force a creditor to receive…
  • Jun 7

    A Lender’s First Line of Defense May be the Debtor’s Own Chapter 11 Plan

    A Lender’s First Line of Defense May be the Debtor’s Own Chapter 11 Plan
    On occasion I have thought that a chapter 11 bankruptcy case is somewhat analogous to a trip on a plane in a few ways. Among other analogous events, consider checking a bag and then forgetting to pick it up on the conveyor belt after the…
Rank this Week: 3782

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Jul 27

    FINRA Bars Top Producer For Charging Commissions Instead Of Fee

    FINRA Bars Top Producer For Charging Commissions Instead Of Fee
    The war continues between those advocating the registered investment advisor model and those proponents of the broker-dealer model. One battleground brings into play the dynamics of charging customers a transaction-based commission versus…
  • Jul 27

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Stockbroker Disqualified For Non Disclose Of Grand Jury InvestigationDo you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe.…
  • Jul 20

    Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation

    Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
    Do you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe. During the relevant times, he wasn't charged with failing to…
Rank this Week: 1138

That Credit Union Blog

That Credit Union Blog

Covers current issues affecting the credit union industry. By the law firm of Weltman, Weinberg & Reis.

http://thatcreditunionblog.wordpress.com
  • Jul 23

    CFPB Issues Final Rule Postponing Implementation of TILA/RESPA Regulations to October 3, 2015

    CFPB Issues Final Rule Postponing Implementation of TILA/RESPA Regulations to October 3, 2015
    By Matthew D. Urban, Attorney On June 3, 2015 the director of the Consumer Financial Protection Bureau (CFPB), Richard Cordray, announced in a letter to Congress that the CFPB was postponing implementation of the TILA/RESPA rules until August…
  • Jun 15

    Michigan’s Amended Periodic Garnishment Statute

    Michigan’s Amended Periodic Garnishment Statute
    By David Wolfe, Attorney Michigan allows judgment creditors to garnish funds owed to a judgment debtor through a periodic garnishment (which is typically sent to an employer), a non-periodic garnishment (which typically seeks to seize funds…
  • May 28

    Charging for Records Request

    Charging for Records Request
    By Matthew Young, Attorney All Credit Unions are faced with the daunting challenge of providing exceptional member service to its members while keeping its costs low. One of the more frustrating and costly circumstances surrounding this…
Rank this Week: 1568

Texas Debt Suit Defense 101

Texas Debt Suit Defense 101

Covers credit card and other debt suit litigation in Texas from the defense side, including substantive legal and evidentiary issues, and comparative analysis of pleadings, legal theories, and litigation strategy. By Wolfgang Demino.

http://debt-suit-litigation-in-texas.blogspot.com
Rank this Week: 2151

Canadian M&A Perspectives

Canadian M&A Perspectives

Covers developments in private and public mergers and acquisitions, and private equity. By McCarthy Tetrault.

http://www.canadianmergersacquisitions.com
  • Jul 22

    Earning Earn-outs: new decision affirms the dangers of not negotiating objective measures and standards in earn-out provision

    Earning Earn-outs: new decision affirms the dangers of not negotiating objective measures and standards in earn-out provision
    By Shane C. D'Souza and David Badour Earn-out provisions are intended to provide a “win-win” scenario for buyers and sellers to maximize their post-closing returns. However, they can also lead to post-closing controversy and…
  • Jul 2

    Doing Business in Canada: Read the latest updates to our popular guide

    Doing Business in Canada: Read the latest updates to our popular guide
    By McCarthy Tétrault LLP McCarthy Tétrault’s Doing Business in Canada is an indispensable reference tool for lawyers and business persons regarding the legal aspects of establishing or acquiring a business in Canada. The…
  • Jun 30

    Keeping it Clean

    Keeping it Clean
    Clean Teams: a way to keep your options open in M&A transactions By Patrick Boucher and Fraser Bourne In the context of M&A transactions, the use of “clean rooms” (i.e., data rooms containing commercially sensitive…
Rank this Week: 3971

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 1118

Financial Regulatory Report

Financial Regulatory Report

Covers financial services regulation, compliance, enforcement and litigation. By Reed Smith LLP.

http://www.financialregulatoryreport.com/
Rank this Week: 3990

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 4923

Al-Mirsal

Al-Mirsal

Covers Middle East banking and finance law. By Latham & Watkins LLP.

http://www.al-mirsal.com/
Rank this Week: 3780

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 8

    Feds Take Aim at Investment Adviser

    Feds Take Aim at Investment Adviser
    The SEC and DOJ brought a slew of cases against IAR's and RIA's in the first half of 2015. At least six cases were filed just last month alone. Here is a brief summary of a sampling of those cases. On January 21, 2015, the SEC filed fraud…
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1400

NC Business & Banking Law Blog

NC Business & Banking Law Blog

Legal news and analysis on matters affecting financial institutions and other businesses, with an emphasis on North Carolina. By Matt Cordell.

http://bizlawnc.com/
  • Jul 3

    What Does It Mean To Be "Certified" In Privacy And Information Security?

    What Does It Mean To Be "Certified" In Privacy And Information Security?
    I recently became certified by the IAPP in information privacy and received the CIPP/US designation. "What does that mean?" you ask? Good question! What is the CIPP/US designation?The International Association of Privacy Professionals…
  • Jun 27

    Big Plans for the Future of the Legal Profession

    Big Plans for the Future of the Legal Profession
    Those of you know me well or who read this blog regularly know that I believe in the Young Lawyers Division of the North Carolina Bar Association and the more than 6,400 young lawyers who belong to it.  In the past eight years, I have…
  • Jun 14

    Five Simple Steps You Can Take to Protect Your Loved Ones on Elder Abuse Awareness Day

    Five Simple Steps You Can Take to Protect Your Loved Ones on Elder Abuse Awareness Day
    This post is a PSA.  Those of you who know me well (or read this blog regularly) know that I have spent a considerable amount of of time and energy trying to help people prevent elder financial abuse.  The…
Rank this Week: 3879

The Reverse Merger & SPAC Blog

The Reverse Merger & SPAC Blog

Covers reverse mergers, special purpose acquisition companies (SPACs), and other alternatives to initial public offerings (IPOs). By David Feldman.

http://www.reversemergerblog.com/
  • Jun 26

    Granting Stock to Charities and Non-Profits in Your Public Offering

    Granting Stock to Charities and Non-Profits in Your Public Offering
    Perhaps nothing is more magical than the immediate accretive value-add to equity shareholders that occurs when shares change from a closed private company to a public offering. This accretive addition of value to both the shareholders and the…
  • Jun 16

    Pump and Dump: Avoiding an Illicit Money-Raising Scheme

    Pump and Dump: Avoiding an Illicit Money-Raising Scheme
    One of the ways in which reverse mergers had had a bad rapport over the years is the often-repeated and sleazy practice of the typical pump-and-dump public offering. To the layperson, a pump-and-dump scheme likely sounds more complicated than…
  • Jun 9

    Is My Company Big Enough to Go Public?

    Is My Company Big Enough to Go Public?
    We’re often asked the question, “is my company big enough to go public?” While the SEC provides no specific threshold on size for going public, many of the exchanges limit the company’s market capitalization with…
Rank this Week: 4361

Pension Risk Matters

Pension Risk Matters

Focuses on pension financial risk issues from a governance and fiduciary perspective. Published by Susan M. Mangiero.

http://www.pensionriskmatters.com/
  • Jun 25

    Investment Fiduciary Monitoring, Economic Damages and Tibble

    Investment Fiduciary Monitoring, Economic Damages and Tibble
    Following the publication of "An Economist's Perspective of Fiduciary Monitoring of Investments" by yours truly, Dr. Susan Mangiero (Pensions & Benefits Daily, May 26, 2015), I decided to write a second article on the topic as there…
  • Jun 22

    De-Risking Slides Now Posted

    De-Risking Slides Now Posted
    If you missed the May 27, 2015 webinar entitled "Pension De-Risking for Employee Benefit Sponsors: Avoiding Litigation and Enforcement Action," click here to download the presentation slides.
  • Jun 21

    Union Plans and Politic

    Union Plans and Politic
    Since I created this pension blog over nine years ago, I have been surprised and puzzled as to why retirement plan issues have been given short shrift by politicians. I understand that rescinding benefits is likely to lose votes but…
Rank this Week: 3238

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 721

Southeast VC

Southeast VC

Covers businesses, trends, technology and venture investing in the Southeast. By Jason Caplain.

http://southeastvc.blogs.com/southeast_vc/
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
  • Feb 23

    Be Proactive to Grow Your Busine

    Be Proactive to Grow Your Busine
    I had coffee with a local service provider last week. I am always up for meeting new people and it was the first time we had met. Our conversation went really well, but he mentioned he was very disappointed one...
  • Nov 20

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP
    We invited some local tech founders over to our office Wednesday night to meet Scott Kupor Managing Partner at Andreessen Horowitz. We have been close with Scott since before he joined Andreessen Horowitz. We thought this would be a good...
Rank this Week: 814

Mortgage Crisis Watch

Mortgage Crisis Watch

Covers business and legal issues affecting loan repurchases, mortgage-backed securities and mortgage insurance. By Bilzin Sumberg.

http://www.mortgagecrisiswatch.com/
  • Jun 11

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue
    In the aftermath of the financial crisis, Fannie Mae and Freddie Mac aggressively demanded Wall Street and big bank aggregators (“aggregators”) repurchase millions of defaulted and distressed loans, due to purported breaches…
  • May 20

    Wells Accused of Profiting from Foreclosure Relief Program

    Wells Accused of Profiting from Foreclosure Relief Program
    A recent class action lawsuit filed on behalf of thousands of homeowners in New York against Wells Fargo alleges that while the bank received $25 billion in government bailout funds it failed to make a good faith effort to help…
  • May 12

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case
    Evidence is mounting that the Consumer Financial Protection Bureau (CFPB) and the Department of Justice (DOJ) are taking a renewed interest in investigating possible redlining—the practice of lenders charging certain groups more for…
Rank this Week: 1125

Bank Lawyer's Blog

Bank Lawyer's Blog

Covers accounting/auditing, commercial lending, credit unions, electronic banking, privacy, RESPA and stocks. By Kevin Funnell.

http://www.banklawyersblog.com/3_bank_lawyers/
  • May 31

    Sabbatical

    Sabbatical
    Other than holidays and brief vacations, I have not taken a break from this blog in over a decade. It's time. This blog is going on summer vacation. Have a great summer.
  • May 28

    The Underbelly Of The Mt. Holly Settlement

    The Underbelly Of The Mt. Holly Settlement
    The settlement of the Mt. Holly disparate impact case before it could be decided by the US Supreme Court were suspicious. At the time, it was thought by many that the US Justice Department had helped to engineer that settlement...
  • May 25

    Releash The Hound

    Releash The Hound
    Calling the CFPB a "rogue agency," Georgia Senator David Perdue introduced a bill in the Senate last week to bring the rogue to heel. The Consumer Financial Protection Bureau Accountability Act of 2015 is a companion bill to one…
Rank this Week: 823

The Swap Report

The Swap Report

Covers regulatory and transactional issues related to derivatives. By Reed Smith LLP.

http://www.theswapreport.com/
Rank this Week: 3984

Blog y Lana finanzas personales…

Blog y Lana finanzas personales que se entienden

Porque de nada sirve ganar mucho dinero si no sabemos mantenerlo en nuestra bolsa. Finanzas personales que se entienden.

http://www.blogylana.com/
  • Apr 17

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167
    Monetizar (tener ingresos) las creaciones en linea en México y en algunos lugares de latinoamérica no ha sido fácil  de productos en internet. Dios sabe que yo también he batallado a pesar de generar contenido…
  • Apr 13

    ¿Invertir sin miedo? Descubre como lograrlo

    ¿Invertir sin miedo? Descubre como lograrlo
    No se pueden tener unas finanzas sólidas si solo ahorras. Ahorrar es la primera parte de la ecuación. ¿La segunda? Es invertir. Hacer que ese dinero que ya ahorraste ¡crezca! El problema es que si nadie nos…
  • Apr 10

    Evita el NO de los mejores proveedores y clientes Podcast #166

    Evita el NO de los mejores proveedores y clientes Podcast #166
    En el podcast #162 El Arte de Pedir explico los pequeños y a veces grandes detalles que hacen que uno reciba un NO cuando se pide algo. Mi querida invitada a este podcast Leonora Varo quiso retomar un poco el tema con un ángulo…
Rank this Week: 4796

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 4890

Financial Institutions Law Blog

Financial Institutions Law Blog

Covers issues such as usury, form compliance for federal and state consumer transactions, UCC and securitization issues. By Sheppard Mullin.

http://www.financialinstitutionlawblog.com/
  • Apr 1

    Court Severs Term But Otherwise Enforces Arbitration Provision With A Class Action Waiver

    Court Severs Term But Otherwise Enforces Arbitration Provision With A Class Action Waiver
    In a victory for Sheppard Mullin and its client, in Trabert v. Consumer Portfolio Serv., Inc., __ Cal. App. 4th. __, 2015 WL 880949 (4th Dist. Mar. 3, 2015), the California Court of Appeal compelled arbitration and enforced a class…
  • Mar 23

    CFPB Issues Compliance Bulletin On Confidentiality of Supervisory Information

    CFPB Issues Compliance Bulletin On Confidentiality of Supervisory Information
    On January 27, 2015, the Consumer Financial Protection Bureau (“CFPB”) issued a compliance bulletin reminding supervised financial institutions (including large depository institutions, credit unions and their affiliates, certain…
  • Jan 9

    No Change Of Position, No Estoppel

    No Change Of Position, No Estoppel
    Under California Law, a party seeking to defeat the statute of frauds based on promissory estoppel must allege an actual change in position.  In Jones v. Wachovia Bank, 230 Cal.App.4th 935 (2014), the California Court of Appeal affirmed…
Rank this Week: 749

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 441

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 621

Private Funds Law Update

Private Funds Law Update

Covers private funds and alternative investments. By Reed Smith LLP.

http://www.privatefundslaw.com/
  • Jan 22

    SEC Announces 2015 Exam Prioritie

    SEC Announces 2015 Exam Prioritie
    The SEC Office of Compliance Inspections and Examinations (“OCIE” or the “Staff”) recently released its 2015 Exam Priorities. OCIE examines all types of SEC registrants, including investment advisers, broker-dealers,…
  • Dec 4

    AIFMD Round 2: Call for Evidence on AIFMD Passport and Non-EU AIFM

    AIFMD Round 2: Call for Evidence on AIFMD Passport and Non-EU AIFM
    This post was written by Vicky Thatcher. Pursuant to Article 67 of the Directive 2011/61/EU on Alternative Investment Fund Managers (“AIFMD”), the European Securities and Markets Authority (“ESMA”) has until 22nd July…
  • Nov 10

    AIFMD Reporting by non-EEA AIFM

    AIFMD Reporting by non-EEA AIFM
    This post was authored by Winston Penhall, Editor of this blog and partner in the Investment Funds practice of Reed Smith LLP, London and Paul Moran, Reed Smith trainee, London.  Application The Alternative Investment Fund Managers…
Rank this Week: 4000

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

Covers the legal ramifications of financial fraud related to multinational corporations, multinational financial institutions, foreign governments, foreign officials and high-profile individuals in sensitive regulatory, civil and international criminal matters. By Michael Diaz, Jr.

http://www.michaeldiazjr.com
  • Dec 2

    Diaz Reus Forms Drone Legal Practice

    Diaz Reus Forms Drone Legal Practice
    In response to the growing phenomenon of domestic drones and legal/regulatory issues surrounding their use, the Florida-based international law firm of Diaz Reus announces the launch of its Unmanned Aircraft Systems (UAS) practice. Headed by…
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

    Diaz Reus & Targ LLP scored a stunning victory in the U.S. District Court for the Southern District of New York last week on behalf of the government of Venezuela, obtaining complete and final dismissal with prejudice of a suit brought by…
  • Sep 25

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
Rank this Week: 4778

OFAC SDN Sanctions Removal Lawyers

OFAC SDN Sanctions Removal Lawyers

Covers the Department of Treasury's Office of Foreign Assets Control and its Specially Designated Nationals list. By McNabb Associates, P.C.

http://ofac-sdn-list-removal.com/
Rank this Week: 265

Illinois Business Law Journal

Illinois Business Law Journal

Covers recent developments affecting business law. From the University of Illinois College of Law.

http://www.law.illinois.edu/bljournal/
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
  • Nov 27

    The Ride-Sharing Economy: Keeping Liability in the Rearview

    The Ride-Sharing Economy: Keeping Liability in the Rearview
                      In large cities the world over, passengers have stopped reaching into the air to hail a cab and have begun reaching into their pockets for their smartphones.  Companies such…
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
Rank this Week: 624

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Sep 24

    WhatsApp Used This Pricing Strategy to Win and You Can Too

    WhatsApp Used This Pricing Strategy to Win and You Can Too
    Seven years ago, First Round Partner Josh Kopelman wrote a seminal blog post on the importance of free services in consumer-facing business models. He argued that most entrepreneurs misunderstand how subscription pricing works and…
  • Sep 22

    7 Tactics to Get the Most Out of Your Startup's Advisor

    7 Tactics to Get the Most Out of Your Startup's Advisor
    It happens all the time. A founder surrounds him or herself with a skilled group of advisors — maybe one or two from investors, a trusted mentor from their past, perhaps someone influential who can open doors. But as the company…
  • Sep 15

    Make Engineering Interns Truly Effective with This Startup's Program

    Make Engineering Interns Truly Effective with This Startup's Program
    At just three years old, Sift Science has accomplished a surprising amount. Its product, which combats fraud using machine learning, is an important tool for companies like Kickstarter, Airbnb, Uber and Opentable. But with just over 30…
Rank this Week: 2881

Banking Law Update

Banking Law Update

Provides updates and commentary on developments in law affecting banks and financial institutions. By Verrill Dana LLP.

http://www.bankinglawupdate.com/
  • Aug 26

    Tips for Merchants and Consumers Facing a Data Breach

    Tips for Merchants and Consumers Facing a Data Breach
    The high-profile data breach at Target made international news. But small and midsized businesses face the majority of cyber attacks and are even more likely to have employees mishandle data than large enterprises.
  • Aug 25

    CFPB Issues Advisory on Bitcoin, Virtual Currencie

    CFPB Issues Advisory on Bitcoin, Virtual Currencie
    On August 11, 2014, the Consumer Financial Protection Bureau released a Consumer Advisory about virtual currencies.  The Advisory followed a directive by the U.S. Government Accountability Office for the CFPB to conduct a close…
  • Aug 8

    Maine Updates Truth-In-Savings, Funds Availability Rule

    Maine Updates Truth-In-Savings, Funds Availability Rule
    Maine’s Truth-in-Savings and Funds Availability Rule is getting an overhaul.  On August 6, 2014, Maine’s Bureau of Financial Institutions announced that changes to Chapter 118, Funds Availability and Truth-in-Savings had…
Rank this Week: 1467