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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 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. …
  • Mar 20

    Foreign Private Issuers May Begin Submitting Their Financial Statements in XBRL

    Foreign Private Issuers May Begin Submitting Their Financial Statements in XBRL
    On March 1, 2017, the Securities and Exchange Commission (SEC) provided notice that the International Financial Reporting Standards (IFRS) taxonomy has been published on the SEC’s website as provided for by the EDGAR Filer Manual.…
Rank this Week: 1149

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: 3602

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: 3506

Attorney R. Tamara de Silva's Blog

Attorney R. Tamara de Silva's Blog

Features a skeptical lawyer's take on financial reform, Wall Street and white collar crime.

http://attyrtamaradesilva.wordpress.com
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain Risk management is the difference between success and ruin in the financial…
  • Aug 19

    Market Transparency

    Market Transparency
    Market Transparency and Accountability Act of 2009 Misses the Mark R. Tamara de Silva February 22, 2009
Rank this Week: 3325

Australian Regulatory Compliance…

Australian Regulatory Compliance Review

Covers legal and regulatory impacts on Australian businesses. By David Jacobson.

http://www.djacobson.com/australian_regulatory_rev/
  • Jun 15

    Are ASIC investigations of financial service providers private?

    Are ASIC investigations of financial service providers private?
    Are ASIC investigations of financial service providers private? Not automatically. In dealing with ASIC and other regulators it is important to understand that the Freedom of Information Act 1982 applies to government agency records and…
  • Jun 15

    Can a special general meeting be adjourned?

    Can a special general meeting be adjourned?
    In the matter of Re1 Limited (ABN 80 145 743 862) and Re2 Limited as responsible entities for Westfield Retail Trust 1 and Westfield Retail Trust 2 (No 3) [2014] NSWSC 762 the NSW Supreme Court considered the adjournment of the adjournment of…
  • Jun 15

    Small amount credit change

    Small amount credit change
    The National Consumer Credit Protection Amendment (Small Amount Credit Contracts) Regulation 2014 was registered on 12 June 2014. The Regulation clarifies the changes introduced on 1 July 2013 which imposed a cap on costs and a limit on fees…
Rank this Week: 1381

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

Covers bank director and officer liability. By Jennings, Strouss & Salmon, PLC.

http://www.bankdandolaw.com/
Rank this Week: 3915

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: 474

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: 4090

BeyondVC

BeyondVC

Covers entrepreneurship, venture capital, technology, investing, and globalizaiton. By Ed Sim.

http://www.beyondvc.com/
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • May 17

    Branding first starts with your team

    Branding first starts with your team
    External branding starts with developing a consistent, internal message first. When you think of branding and positioning, remember that your first line of offense and the most important representation of your company comes from your…
Rank this Week: 2890

Big Four Blog

Big Four Blog

Covers accounting news, events and opinions by Big Four alumni.

http://bigfouralumni.blogspot.com/
Rank this Week: 1183

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: 752

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 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.…
  • Mar 13

    FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck

    FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck
    Bureaucracies love to promulgate rules. Rules that you must comply with. Rules that the bureaucrats enforce. Rules that will cost you big bucks in terms of fines. The thing is that those who draft the rules have a penchant for overly…
  • Mar 10

    Damnable Costs of FINRA Expungement

    Damnable Costs of FINRA Expungement
    Let's imagine that a traffic agent wrote a parking ticket but transposed two numbers on the license. Lucky you: You open your mail and find out that you were mistakenly issued a $100 parking ticket at a time when you knew that you were…
Rank this Week: 1133

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 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),…
  • Dec 13

    Corporate Democracy vs. Directors’ Powers: lessons from Marquee/Smoothwater

    Corporate Democracy vs. Directors’ Powers: lessons from Marquee/Smoothwater
    By Robert Hansen, Shane C. D'Souza and Vanessa Chung Alberta’s Court of Appeal recently overturned a controversial interlocutory decision involving a proposed acquisition by Alberta Oil Sands Inc. (“AOS”) of Marquee Energy…
Rank this Week: 3768

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
  • Feb 8

    In re Behrends: FINRA Arbitration Awards May Not Be Dischargeable In Bankruptcy But Make Sure To Register Them As Judgments.

    In re Behrends: FINRA Arbitration Awards May Not Be Dischargeable In Bankruptcy But Make Sure To Register Them As Judgments.
    11 U.S.C. §523(a)(19), which was part of the Sarbanes-Oxley Act of 2002, states that a discharge [in bankruptcy] does not discharge an individual debtor from any debt that           …
  • Feb 6

    Sentinel Growth Fund Management and Mark…

    Sentinel Growth Fund Management and Mark Varacchi:  Even Rich People Should Stick With Registered Financial Advisors. February 6, 2017On Thursday, February 2, 2017, the SEC filed a civil complaint in Connecticut federal court…
Rank this Week: 5036

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 4232

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: 819

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: 2971

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 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…
  • Mar 19

    Loss of the right to rear a child does not give rise to constitutional damage

    Loss of the right to rear a child does not give rise to constitutional damage
    Our law does not recognise a claim for constitutional damages for loss of a parent’s right to rear a child who was stillborn as a result of medical negligence. In Mbhele v MEC Health for the Gauteng Province, an expectant mother was…
Rank this Week: 1883

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: 3701

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: 537

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: 122

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: 1096

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 2923

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: 3031

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • 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…
  • Mar 21

    High court won’t resolve circuit split on SEC whistleblowing

    High court won’t resolve circuit split on SEC whistleblowing
    By Anne Sherry, J.D.The Supreme Court declined to resolve a circuit split regarding whether Dodd-Frank protects whistleblowers who do not report misconduct to the SEC. The case came to the Court on an unusual posture, seeking to appeal a…
  • Mar 20

    EU Parliament approves conflict minerals proposal

    EU Parliament approves conflict minerals proposal
    By Amy Leisinger, J.D.By a 558-17 vote, the European Parliament approved a proposal to stop trade in conflict minerals to ensure that European industries source minerals responsibly. According to the European Commission, the changes will stop…
Rank this Week: 472

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: 4783

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: 2538

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: 3582

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 917

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: 3594

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: 2

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: 3564

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: 1757

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: 4485

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: 351

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: 2390

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 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…
  • Feb 27

    Dr. Lee Heavner Joins Dr. Susan Mangiero to Discuss Derivatives and Fiduciary Duty

    Dr. Lee Heavner Joins Dr. Susan Mangiero to Discuss Derivatives and Fiduciary Duty
    As a follow-up to my January 12, 2017 announcement about retirement plan risk management education with the Professional Risk Managers' International Association ("PRMIA"), I am delighted to announce a co-presenter for the March 2, 2017…
Rank this Week: 3046

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: 4067

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: 3713

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: 2891

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 22

    Bank of England speech on law, ethics and culture in banking

    Bank of England speech on law, ethics and culture in banking
    The Bank of England (the Bank) has published a speech given by its Governor, Mark Carney. The speech is entitled. Remarks at the Banking Standards Board Panel “Worthy of trust? Law, ethics and culture in banking” At the beginning…
  • Mar 22

    JMLSG publishes proposed revisions to Part 1 of its guidance

    JMLSG publishes proposed revisions to Part 1 of its guidance
    The Joint Money Laundering Steering Group (JMLSG) has published proposed revisions to Part I of its guidance in line with the proposed Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017…
  • Mar 22

    Public consultation on the operations of the ESA

    Public consultation on the operations of the ESA
    The European Commission has issued a consultation on the European Supervisory Authorities – the European Banking Authority, the European Securities and Markets Authority (ESMA) and the European Insurance and Occupational Pensions…
Rank this Week: 259

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: 486

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
Rank this Week: 3181

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: 1827

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: 2906