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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
  • Mar 24

    Ontario’s Bulk Sales Act has been repealed

    Ontario’s Bulk Sales Act has been repealed
    By Ian Mak, Jake Irwin, Heidi Gordon and Vanessa Chung On March 22, 2017, Ontario’s Bulk Sales Act (BSA) was repealed, bringing to an end bulk sales legislation in Canada.1 The BSA was enacted in 1917, and was intended to protect…
  • Mar 16

    Canadian Securities Administrators Publish Report and Guidelines on Social Media Use by Reporting Issuer

    Canadian Securities Administrators Publish Report and Guidelines on Social Media Use by Reporting Issuer
    By David E. Woollcombe and Claire Gowdy We recently wrote an article for The Canadian Securities Regulatory Monitor, McCarthy Tétrault’s blog covering securities regulatory developments, that we believe is of…
  • Mar 10

    New 2017 Competition Act Merger Notification Threshold

    New 2017 Competition Act Merger Notification Threshold
    By Donald Houston and Michele Siu The pre-merger notification transaction-size threshold for 2017 has increased to $88 million from the 2016 threshold of $87 million.  As per the indexing mechanism set out in the Competition Act (Act),…
Rank this Week: 4058

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 4237

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Mar 24

    European Commission proposes merging insurance and banking supervisory authoritie

    European Commission proposes merging insurance and banking supervisory authoritie
    As part of the public consultation on the review of the European Supervisory Authorities (ESAs) the European Commission has proposed merging the European Banking Authority (EBA) and the European Insurance and Occupational Pensions Authority…
  • Mar 24

    Commission consults on developing its policy approach to FinTech

    Commission consults on developing its policy approach to FinTech
    The European Commission (Commission) has published a consultation paper, Fintech: a more competitive and innovative European financial sector. The consultation paper seeks input from stakeholders to further develop the Commission’s…
  • Mar 24

    PSR statement on card schemes subject to domestic interchange fee caps in UK in 2017/18

    PSR statement on card schemes subject to domestic interchange fee caps in UK in 2017/18
    The Payment Systems Regulator (PSR) has published a statement on card schemes subject to domestic interchange fee caps in the UK in 2017/18. The PSR explains that the Interchange Fee Regulation (IFR) gives some discretion to national…
Rank this Week: 123

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 24

    SEC chief accountant highlights revenue recognition, internal control topic

    SEC chief accountant highlights revenue recognition, internal control topic
    By Amanda Maine, J.D.SEC Chief Accountant Wesley Bricker recently addressed the Annual Life Sciences Accounting and Reporting Congress in Philadelphia, where he discussed the progress of companies transitioning to FASB’s new revenue…
  • Mar 23

    Sham loan doesn’t defeat relief defendant jurisdiction

    Sham loan doesn’t defeat relief defendant jurisdiction
    By John M. Jascob, J.D., LL.M.Addressing an issue of first impression, the Ninth Circuit ruled that putative relief defendants in an SEC disgorgement proceeding could not divest a court of jurisdiction over them simply by asserting a facially…
  • Mar 22

    CAQ publishes report on addressing complex accounting challenge

    CAQ publishes report on addressing complex accounting challenge
    By Jacquelyn LumbThe Center for Audit Quality has released a report on the challenges of highly subjective and complex accounting areas which provides recommendations for deterring fraud and enhancing financial reporting. The report was…
Rank this Week: 503

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Mar 24

    Third-Party Adviser Exams: A Fleeting Possibility

    Third-Party Adviser Exams: A Fleeting Possibility
    In December 2016, then acting Chairwoman of the Securities and Exchange Commission (“SEC”) Mary Jo White drafted a proposal that, if adopted, would enable third-parties, such as private sector organizations, to perform compliance…
  • Mar 22

    Investment Adviser Charged With Misappropriating Client Fund

    Investment Adviser Charged With Misappropriating Client Fund
    On February 2, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the District of Connecticut against Sentinel Growth Fund Management, LLC (“Sentinel”), an…
  • Mar 15

    FINRA Requests Comments on Rule Amendment Permitting Use of Investment-Strategy Projection

    FINRA Requests Comments on Rule Amendment Permitting Use of Investment-Strategy Projection
    In February 2017, the Financial Industry Regulatory Authority Inc. (“FINRA”) published a Regulatory Notice asking for comment on proposed changes to FINRA Rule 2210, which governs communications with the public.  Under…
Rank this Week: 3021

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 24

    Clayton Confirmation: Make America’s Capital Markets Great Again

    Clayton Confirmation: Make America’s Capital Markets Great Again
    Yesterday, the Senate held a confirmation hearing on Jay Clayton’s nomination to serve as SEC Chair.  In his opening statement, Jay touched on some of his priorities – and improving…
  • Mar 23

    “Hasta La Vista” T+3: SEC Adopts T+2 Settlement

    “Hasta La Vista” T+3: SEC Adopts T+2 Settlement
    Yesterday, the SEC adopted an amendment to Rule 15c6-1(a) mandating a T+2 settlement cycle.  Here’s the 146-page adopting release.  The amendment prohibits a broker-dealer from effecting – or entering…
  • Mar 22

    Board Gender Diversity: Good for Busine

    Board Gender Diversity: Good for Busine
    This blog from “The Conference Board” reports the results of a recent study on the impact of gender diversity on boards.  Here’s a summary of the conclusions: Among the findings in the report, the authors concluded that…
Rank this Week: 2608

Financial Institutions Legal…

Financial Institutions Legal Snapshot

Covers banking, finance and insurance law in South Africa. By Norton Rose Fulbright.

http://www.financialinstitutionslegalsnapshot.com/
  • Mar 24

    Punctuation matter

    Punctuation matter
    In Maine, USA, the interpretation of a state law involving overtime pay revolved around the use of the Oxford comma. What is the Oxford comma? The Oxford comma comes before the last item in a list of 3 or more things, usually to resolve…
  • Mar 22

    Setting aside arbitrator’s award for going beyond the dispute

    Setting aside arbitrator’s award for going beyond the dispute
    Arbitration clauses must be construed liberally to give effect to their essential purpose which is to resolve legal disputes arising from commercial relationships before privately agreed tribunals, instead of through the courts. When business…
  • Mar 21

    Failure of PI insured to report potential malpractice suit (US)

    Failure of PI insured to report potential malpractice suit (US)
    The question debated in a claim under a lawyers’ professional indemnity policy was whether the attorneys could have reasonably expected the underlying malpractice action and should have reported it to their insurers. The insurers argued…
Rank this Week: 990

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
  • Mar 23

    SEC Adopts T+2 Settlement Cycle for Securities Transaction

    SEC Adopts T+2 Settlement Cycle for Securities Transaction
    On March 22, 2017, the Securities and Exchange Commission (SEC) adopted an amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”) to shorten the standard settlement cycle for most broker-dealer…
  • Mar 21

    SEC Proposes Inline XBRL Filing of Tagged Data

    SEC Proposes Inline XBRL Filing of Tagged Data
    On March 1, 2017, the Securities and Exchange Commission (SEC) published for comment a proposed rule requiring the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of operating company financial…
  • Mar 21

    Chinese Foreign Investments in Hollywood

    Chinese Foreign Investments in Hollywood
    After a record-breaking 2016 for Chinese companies’ investments in the film industry, changes to Chinese foreign investment policy have created uncertainty for the future of Hollywood’s relationship with the Middle Kingdom. …
Rank this Week: 2019

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/
  • Mar 23

    Pension Blog Turns 11 On Same Day As National Fiduciary Day

    Pension Blog Turns 11 On Same Day As National Fiduciary Day
    Last year, I celebrated a decade of posting investment governance insights to Pension Risk Matters. This year, I have two reasons to say "hooray." March 23 marks the eleventh year of posting analyses, research updates and essays about…
  • Mar 6

    Are You Stressed Out?

    Are You Stressed Out?
    For anyone who is stressed out and needs a literary cupcake or other type of relaxing break, check out my new inspirational gift book. I hope you enjoy The Big Squeeze: Hugs & Inspirations For Every Grown-Up Who Loves Teddy…
  • Feb 28

    Can A Retirement Plan Have Too Much Risk Management?

    Can A Retirement Plan Have Too Much Risk Management?
    The issue of excess has been on my mind lately, mostly focused on my fragrance collection but now expanding to the topic of investment risk management. More specifically, as I continue to lead workshops about retirement plan risk management…
Rank this Week: 655

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/
  • Mar 22

    Indecision Hampers SEC

    Indecision Hampers SEC
    President Donald J. Trump's unpredictability may extend to his appointment of Securities and Exchange Commissioner members, financial industry government relations officials said on Tuesday.Traditionally, the SEC's five commissioners are…
  • Mar 13

    Art Cashin warns that there's something ‘disturbing' happening in the market

    Art Cashin warns that there's something ‘disturbing' happening in the market
    Stocks may be trekking higher, but Wall Street trading veteran Art Cashin says there are looming risks to the market that could soon shake things up.On CNBC's "Futures Now" last week, Cashin commented on how a "counter-intuitive" trend is…
  • Feb 27

    SEC Wants All Investors to Access High Risk Investments.

    SEC Wants All Investors to Access High Risk Investments.
    In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for allowing every investor to buy unregistered securities, regardless of their income, net worth, or ability to suffer the risk of loss.The…
Rank this Week: 2612

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
Rank this Week: 1013

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
  • Mar 20

    Warp Speed Dismissal in Lightspeed Trading Arbitration

    Warp Speed Dismissal in Lightspeed Trading Arbitration
    Ya got yer speed of sound. Ya got yer speed of light. And then, for all you Trekkies, ya got yer warp speed. In a recent FINRA public customer arbitration, the three arbitrators moved about as fast as possible to toss the case and recommend…
  • Mar 14

    It's All Going To Pot In FINRA Settlement

    It's All Going To Pot In FINRA Settlement
    Was a time when marijuana was the thing of folded five-dollar bills, scared kids, and ripped-open boxes of Oreo cookies. Times have changed. Now it's big business. Public companies. Wall Street is rolling in the green. Alas, FINRA just…
  • Mar 13

    Invesco Loses FMLA Wrongful Termination Case

    Invesco Loses FMLA Wrongful Termination Case
    Today's BrokeAndBroker.com Blog publishes a commentary about a recent FINRA intra-industry arbitration pitting an associated person against her former firm, Invesco Distributors, Inc.,  as a result of her allegedly wrongful termination.…
Rank this Week: 3869

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Mar 17

    Developments on the OCC’s Initiative for Fintech Companie

    Developments on the OCC’s Initiative for Fintech Companie
    Since Comptroller of the Currency Thomas J. Curry announced last December that the OCC will move forward to consider granting special purpose national bank charters to financial technology companies—under the OCC’s existing…
  • Mar 17

    The OCC Fintech Charter: A New Model for Tech-Enabled Financial Services?

    The OCC Fintech Charter: A New Model for Tech-Enabled Financial Services?
    On February 21, DWT Payments team members Andy Lorentz and Tom Scanlon took part in a discussion organized by NYPAY that focused on the prospects of the OCC special purpose fintech charter. The questions discussed included, “Will…
  • Jan 26

    The Latest Survey of UDAAP Activitie

    The Latest Survey of UDAAP Activitie
    Adam Maarec, member of DWT Payments Team, along with John C. Morton, member of Gordon Feinblatt’s Financial Services Practice Group, recently published an updated survey of activities identified by the Dodd-Frank Act as unfair,…
Rank this Week: 1148

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Mar 15

    Comment on Sentencing of Kristen Ayala

    Comment on Sentencing of Kristen Ayala
    Mortgage Fraud Blog. A recent comment from Brandon on the blog post Mortgage Mod Case Results in 10+ Year Sentences stated: “Couple of small pawns in a much larger game.kristen is a 32 year old first time,non violent offender…
  • Mar 14

    California Mortgage Elimination Scheme Eliminated

    California Mortgage Elimination Scheme Eliminated
    Mortgage Fraud Blog. Martin Calzada, 29, Norwalk, California was found guilty by a federal jury after a four-day trial, of one count of conspiracy to commit mail fraud and eight counts of mail fraud affecting a financial…
  • Mar 14

    Jury Finds Bank President Guilty of Fraud

    Jury Finds Bank President Guilty of Fraud
    Mortgage Fraud Blog. Anthony J. Atkins, 51, Eufaula, Alabama, was convicted by a Federal Jury after a 5-day trial, of conspiracy to commit bank fraud, four counts of false statements to a federally insured financial institution, bank fraud,…
Rank this Week: 3

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 2949

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Mar 14

    10 takeaway points on Luxembourg’s RAIF

    10 takeaway points on Luxembourg’s RAIF
    The Luxembourg law on reserved alternative investment funds (RAIF) is a welcome addition to the alternative investment funds (AIF) industry and we have seen keen interest from the fund and asset management industry in this new platform. Since…
  • Aug 9

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland
    On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to…
  • Aug 9

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 3932

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Mar 13

    SEC Rejects Bitcoin ETF Proposal Citing Lack of Regulation

    SEC Rejects Bitcoin ETF Proposal Citing Lack of Regulation
    On March 10, 2017, the U.S. Securities Exchange Commission (“SEC“) issued an order disapproving BATS BZX Exchange’s proposal to list and trade shares of the Winklevoss Bitcoin Trust. The proposal, if granted, would have…
  • Feb 27

    Alternative Data and Credit Scores: Will it Trigger CFPB Enforcement?

    Alternative Data and Credit Scores: Will it Trigger CFPB Enforcement?
    The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) recently announced an effort[1] to better understand how “alternative data” could be used to expand access to credit.  Through a formal…
  • Feb 24

    NY Proposed Budget Would Expand NYDFS Authority over FinTech Lending Companie

    NY Proposed Budget Would Expand NYDFS Authority over FinTech Lending Companie
    Lender license requirements recently included in the New York governor’s proposed 2017-2018 budget would expand the jurisdiction of the New York State Department of Financial Services (NYDFS) to cover many financial technology (FinTech)…
Rank this Week: 3938

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/
  • Mar 12

    Credit Derivatives: Understanding The Esoteric

    Credit Derivatives: Understanding The Esoteric
    Eight years ago, I reviewed a book, Equity Derivatives, edited and partially authored by Mayer Brown London-based partner Edmund Parker. Recently, Mr. Parker wrote a follow-up tome, this one entitled Credit Derivatives: Understanding and…
  • Mar 5

    Trump Sends Mixed Smoke Signals On Mary Jane

    Trump Sends Mixed Smoke Signals On Mary Jane
    Bankers in states where marijuana businesses are legal (under state, but not federal, law) have been confused for the past several years about the relative risks of banking what is undeniably a cash-rich sector of the economy. When Trump…
  • Feb 27

    It's The Compliance Function, Stupid

    It's The Compliance Function, Stupid
    Not long ago, my friend Anthony Demangone, the COO of the National Association of Federal Credit Unions, preached about why credit union leaders should care about compliance. His views make sense not merely for credit union leaders, but for…
Rank this Week: 2602

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/
  • Mar 5

    A New Chapter

    A New Chapter
    This photo was taken for the firm's website when I joined in 2007In 2005, I met two exceptional people, Don Eglintonand Leigh Wilkinson, during on-campus interviews at my law school.  I could immediately tell from the way…
  • Dec 17

    The FCC Creates Privacy, Data Protection, and Data Breach Rules for Internet Service Provider

    The FCC Creates Privacy, Data Protection, and Data Breach Rules for Internet Service Provider
    The Federal Communications Commission is venturing into new areas of privacy regulation.  By a narrow vote, the FCC has approved new rules that govern how internet service providers ("ISPs") use consumers' information.   ISPs long…
  • Nov 20

    "Cyber Safeguards and Procedures" for Law Firms (and Others)

    "Cyber Safeguards and Procedures" for Law Firms (and Others)
    I recently spoke about information security issues at a continuing legal education event sponsored by Lawyers Mutual.  The session was titled "Cyber Safeguards and Procedures" and focused on data security risks faced by law…
Rank this Week: 3794

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/
  • Mar 3

    FTC Issues New Top 10 Consumer Complaint Categories in Annual Summary

    FTC Issues New Top 10 Consumer Complaint Categories in Annual Summary
    On March 3, the Federal Trade Commission (FTC) issued an annual summary of consumer complaints, highlighting trends in the various categories of consumer complaints received by the Commission over the past year. The agency released its…
  • Mar 3

    District Court Advances Securitization Case Involving N.Y. State Usury Law

    District Court Advances Securitization Case Involving N.Y. State Usury Law
    On February 27, a U.S. District Court in White Plains, N.Y. issued an Order ruling on motions for summary judgment and class certification in a consumer class-action against a debt collection company that purchased defaulted consumer debt…
  • Mar 3

    District Court Denies Injunction Against “Operation Choke Point” Activitie

    District Court Denies Injunction Against “Operation Choke Point” Activitie
    On February 23, a U.S. District Court for the District of Columbia issued a Memorandum Opinion denying a request for injunctive relief sought by a group of payday lenders to stop “Operation Choke Point” – a DOJ initiative…
Rank this Week: 3953

NextGen Financial Services Report

NextGen Financial Services Report

By Dykema. Provides news and analysis of legal issues affecting the financial services industry.

http://www.nextgenfinancialservicesreport.com/
  • Feb 28

    Competition for Nonbank Small-Dollar Lending?

    Competition for Nonbank Small-Dollar Lending?
    As long as nonbank small-dollar lending faces additional regulation and regulatory scrutiny, as we have previously discussed, the role of small-dollar loans made by traditional depository institutions should not be ignored. To date, bank and…
  • Feb 22

    The Enduring Role of the States and Cities in Small-Dollar Lending

    The Enduring Role of the States and Cities in Small-Dollar Lending
    As discussed in our previous post, the Consumer Financial Protection Bureau (CFPB) has proposed a regulation that would impose numerous requirements regarding small-dollar lending. Unquestionably, that rule would be significant because it…
  • Feb 15

    The CFPB and Small-Dollar Lending: Where Do We Go from Here?

    The CFPB and Small-Dollar Lending: Where Do We Go from Here?
    As political developments affecting the federal regulatory landscape continue, one key area that consumer financial services practitioners will want to monitor is the future of nonbank small-dollar lending regulation and enforcement. The…
Rank this Week: 2162

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Feb 28

    The Legal Landscape for Drones in the UAE

    The Legal Landscape for Drones in the UAE
    The use of “unmanned aerial systems” or “drones” for commercial, government and consumer purposes has significantly increased in recent years across the globe. In the UAE, the office of H.H. Sheikh Mohammed Bin Rashid…
  • Feb 16

    The Legal Status of Bitcoin in the United Arab Emirate

    The Legal Status of Bitcoin in the United Arab Emirate
    This is the first in a series of articles considering legal issues relating to bitcoin, cryptocurrencies and blockchain in the UAE. In this article we focus on the legal status of bitcoin and address the question of whether bitcoin is banned…
  • Feb 16

    United Arab Emirates – the New Digital Payments Regulatory Landscape

    United Arab Emirates – the New Digital Payments Regulatory Landscape
    New Regulations balance innovation in the payments sector with safety, security and maintaining the public’s trust in the UAE payment ecosystem. After a long period of consultation, on 1 January 2017 the Central Bank in the United Arab…
Rank this Week: 3854

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 24

    Somebody Else Said It

    Somebody Else Said It
    Is paying someone else to make a misstatement to investors the same as making the misstatement yourself for purposes of securities fraud liability?  Two recent appellate decisions address this question and come to different conclusions…
  • Feb 10

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research have released their respective 2016 annual reports on federal securities class action filings.  As usual, the different methodologies employed by the two organizations have led to…
  • Jan 30

    Transparently Aspirational

    Transparently Aspirational
    Can shareholders bring a claim for securities fraud when a corporate official violates the company’s code of conduct after publicly touting the business’s high standards for ethics and compliance?  According to the U.S. Court…
Rank this Week: 2609

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/
Rank this Week: 4422

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
  • Feb 22

    NYDFS Announces Final Cybersecurity Rules for Financial Services Sector

    NYDFS Announces Final Cybersecurity Rules for Financial Services Sector
    From our colleagues Carla Small, Jim Halpert and Anne Kierig Governor Andrew Cuomo has announced final cybersecurity rules for New York’s financial services sector. The Cybersecurity Requirements for Financial Services Companies (the…
  • Feb 15

    SVB’s Annual Startup Outlook Report

    SVB’s Annual Startup Outlook Report
    As a Valentine’s Day gift to the community, Silicon Valley Bank issued is eighth annual Startup Outlook Report, resulting from a survey of nearly 950 technology and healthcare executives in startups, most based in…
  • Feb 13

    Corporate Venture Capital Compensation Snapshot

    Corporate Venture Capital Compensation Snapshot
    For some time now, corporate venture capital (CVC) has been a significant part of the funding ecosystem. According to Pitchbook, in 2016 alone over $20 billion was invested in 745 US venture deals in which CVC participated.  CVC is…
Rank this Week: 4017

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: 798

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 684

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
Rank this Week: 496

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 2610

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/
Rank this Week: 2405

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/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1679

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/
  • Oct 25

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 3489

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: 3683

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: 3945

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
  • Feb 24

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement
    By: Nicholas K. Rohner, Esq. For any credit union seeking to negotiate with one of its members over a lump-sum settlement of the member’s delinquent, unsecured debt,[1] one potential roadblock is IRS Form 1099-C. This form reports the…
  • Nov 20

    Bankruptcy Forms to Change December 1st

    Bankruptcy Forms to Change December 1st
    By Keri P. Ebeck, Partner As of December 1, 2015, the United States Bankruptcy Courts will mandate usage and filing of the forms approved at the Judicial Conference in September 2015. Although many of the official bankruptcy forms will…
  • Oct 16

    Fraud Alert-Forged Paystub

    Fraud Alert-Forged Paystub
    By Matthew M. Young, Attorney While forging paystubs to obtain credit is not a new concept, I have a number of credit unions that have advised me of an alarming increase in the use of these phony documents to support employment and…
Rank this Week: 568

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Feb 11

    Public SaaS Valuations Are Diving. How Should You React?

    Public SaaS Valuations Are Diving. How Should You React?
    I received data 48 hours ago from Pacific Crest which shows valuations of SaaS companies in a sharp decline. Given 90% of our investments are into software companies, this is very relevant and I forwarded the data to a few...
  • Sep 14

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • 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...
Rank this Week: 2600

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 4457

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/
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 1924

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 3836

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
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 5136

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: 4026

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: 4823

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: 3107

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: 4797

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: 1159