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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
  • May 27

    What worries directors and GCs most today?

    What worries directors and GCs most today?
    As we have discussed before, several issues keep up boards of directors and general counsels at night. The recent Law in the Boardroom Study, performed by Corporate Board Member and FTI Consulting and discussed here, confirms that…
  • May 21

    Recommended Reading: ISS Corporate Solutions ExecComp Insight

    Recommended Reading: ISS Corporate Solutions ExecComp Insight
    This week, we highlight the May 2015 edition of ISS Corporate Solutions ExecComp Insights which provides an analysis of the latest trends in executive compensation. It includes: The hidden complexities of executive compensation Early results…
  • May 19

    Fee-Shifting Prohibition Clears a Hurdle

    Fee-Shifting Prohibition Clears a Hurdle
    Last week, the Delaware Senate, in response to a prior Delaware Supreme Court ruling that was previously discussed here, voted to approve legislation that would prohibit corporations from adopting charter or bylaw provisions that shift a…
Rank this Week: 2993

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • May 13

    Kuwait Power and Water Projects to Take-Off Following Publication of PPP Regulation

    Kuwait Power and Water Projects to Take-Off Following Publication of PPP Regulation
    New PPP Regulations Further to the publication of the new PPP law in August 2014, the corresponding executive regulations were published in the official gazette on 29 March 2015. The new regulations provide developers with additional…
  • Apr 28

    UAE Corporate Law Reform

    UAE Corporate Law Reform
    The UAE has recently passed a new commercial companies law and approved some key changes to its public takeover regime. 1. New UAE Commercial Companies Law UAE Federal Law No. (2) of 2015 Concerning Commercial Companies (2015 CCL) was…
  • Apr 21

    Financing the Middle East’s Shopping Spree

    Financing the Middle East’s Shopping Spree
    The continuing strong economic conditions of the UAE and other GCC economies has led to an upsurge in consumer spending in recent years. With retail sales in the region expected to reach US$284.5 billion by 2018, the need to meet the growing…
Rank this Week: 3965

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: 1994

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: 3748

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: 593

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: 531

Bank Lawyer's Blog

Bank Lawyer's Blog

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

http://www.banklawyersblog.com/3_bank_lawyers/
  • May 28

    The Underbelly Of The Mt. Holly Settlement

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

    Releash The Hound

    Releash The Hound
    Calling the CFPB a "rogue agency," Georgia Senator David Perdue introduced a bill in the Senate last week to bring the rogue to heel. The Consumer Financial Protection Bureau Accountability Act of 2015 is a companion bill to one…
  • May 20

    Reality Check

    Reality Check
    While ideologues pontificating from ivory towers claim that community banks don't need regulatory relief, since they are doing just fine financially, boots on the ground tell a different story. Community banks are drowning in a torrent of…
Rank this Week: 329

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: 3896

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: 3250

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1838

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: 667

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
  • May 26

    Study Guide Fails A Wannabe Stockbroker

    Study Guide Fails A Wannabe Stockbroker
    If there is a shortcut through the forest of continuing education, a detour around career qualification exams, or any way in which to avoid and evade the obligation to sit and take a test, someone has tried it. If it worked, we probably don't…
  • May 26

    FINRA Says Charity Does Not Begins At Home

    FINRA Says Charity Does Not Begins At Home
    Ever the wordsmith and societal critic, author Charles Dickens is credited with saying that "charity begins at home and justice begins next door." Frankly, an intriguing turn of a phrase and one that gives us much to ponder. In a recent Wall…
  • May 22

    What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investment

    What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investment
    If Hillary Clinton could use a personal server for her emails, why can't a registered representative use an AOL email account? Then there's the whole other issue about why a registered representative needs permission to personally invest in…
Rank this Week: 3888

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
  • Apr 28

    “Golden Leash” arrangements secure ISS’s cautious nod

    “Golden Leash” arrangements secure ISS’s cautious nod
    By Shane C. D'Souza and Deandra Schubert After taking a break last proxy season, “golden leash” arrangements are back in the spotlight. A few days ago, Institutional Shareholder Services Inc. (“ISS”) gave…
  • Apr 24

    Four Due Diligence Issues in Insurance M&A Transaction

    Four Due Diligence Issues in Insurance M&A Transaction
    By Ana Badour and Ian C. Michael Insurance M&A activity, in both the Canadian market and globally, has been on the rise since the 2008 financial crisis, and is expected to continue to increase. Deloitte recently reported that there were…
  • Apr 16

    Harnessing Social Media in Proxy Contests: Opportunities and Legal Challenge

    Harnessing Social Media in Proxy Contests: Opportunities and Legal Challenge
    By Shane C. D'Souza, Deandra Schubert and Blake Jones Social media has very seldom been leveraged in Canadian proxy contests. One reason for this may be the lack of knowledge about its full potential.[1] To address this reason, our first…
Rank this Week: 3976

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: 986

Current Issues in Credit Unions

Current Issues in Credit Unions

Covers credit unions and the issues they face daily. Hosted by Brian Witt, Guy Messick, Gwen Baker and Robert Rutkowski.

http://ciicu.libsyn.com
Rank this Week: 1674

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: 4464

Financial Industry Resource Center

Financial Industry Resource Center

Covers the financial crisis. By Hunton & Williams.

http://www.huntonfinancialindustryresourcecenter.com/
  • May 7

    CFPB Proposes New GLB Privacy Notice Rule

    CFPB Proposes New GLB Privacy Notice Rule
    As reported on our Privacy and Information Security Law Blog, on May 6, 2014, the Consumer Financial Protection Bureau (“CFPB”) announced a new proposed rule impacting privacy notices that financial institutions are required to…
  • Jan 23

    SEC Releases "Regulation A+" Proposal

    SEC Releases "Regulation A+" Proposal
    On December 18, 2013, the SEC proposed rules under Title IV of the JOBS Act to amend Regulation A (Rules 251-263 under the Securities Act of 1933 (the "Securities Act")). The proposed rules, which have been referred to informally as…
  • Nov 27

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker
    A recent court order in favor of the Commodity Futures Trading Commission (or CFTC) and new rules issued by CFTC establish a standard of liability for depository institutions that fail to fulfill their customer funds protection obligations…
Rank this Week: 4909

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • May 26

    Federal Reserve Proposes Adding Additional Asset Types to Meet LCR Requirement

    Federal Reserve Proposes Adding Additional Asset Types to Meet LCR Requirement
    On May 21, the Federal Reserve Board proposed adding certain general obligation state and municipal bonds to the range of assets a banking organization may use to satisfy the Liquidity Coverage Ratio (LCR) requirements designed to ensure that…
  • May 26

    Fannie Mae and Freddie Mac to Issue New Seller/Servicer Eligibility Requirement

    Fannie Mae and Freddie Mac to Issue New Seller/Servicer Eligibility Requirement
    On May 20, the FHFA announced that Fannie Mae and Freddie Mac are issuing new finalized operational and financial eligibility requirements for mortgage seller/servicers.  The updated requirements will be communicated through guides,…
  • May 26

    FHFA Releases Update on the Single Security Project

    FHFA Releases Update on the Single Security Project
    On May 15, the FHFA released an update on the structure of the Single Security, a project involving the development of a single mortgage-backed security that would be issued by Fannie Mae or Freddie Mac.  The update contains FHFA’s…
Rank this Week: 519

Financial Institutions Law Blog

Financial Institutions Law Blog

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

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

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

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

    CFPB Issues Compliance Bulletin On Confidentiality of Supervisory Information

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

    No Change Of Position, No Estoppel

    No Change Of Position, No Estoppel
    Under California Law, a party seeking to defeat the statute of frauds based on promissory estoppel must allege an actual change in position.  In Jones v. Wachovia Bank, 230 Cal.App.4th 935 (2014), the California Court of Appeal affirmed…
Rank this Week: 1158

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
Rank this Week: 1958

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/
  • May 28

    Can a Debtor Satisfy a Claim Merely by Writing Satisfied on a Payment?

    Can a Debtor Satisfy a Claim Merely by Writing Satisfied on a Payment?
    Authored by Timothy D. Hedrick and Mark S. Mitchelland Timothy D. Hedrick and Mark S. Mitchell of Rogers TowersQuestions sometimes arise from creditors regarding the effect of a debtor sending to a bank or other creditor a check for less than…
  • May 26

    Florida Court Rules Technical Admissions Cannot Overcome Facts Already in the Record

    Florida Court Rules Technical Admissions Cannot Overcome Facts Already in the Record
    Authored by Adam B. Brandon of Rogers TowersUnder Rule 1.370, Florida Rules of Civil Procedure, a party may serve a written request that another party admit certain facts to be true. If the party served with the request fails to respond…
  • May 21

    Note versus Mortgage: Who leads the dance?

    Note versus Mortgage: Who leads the dance?
    Authored by Samantha Alves Orender of Rogers TowersEarlier this month, Florida’s Fourth District Court of Appeal released an opinion seemingly designed to serve as a primer on perfecting a security interest in a promissory note secured…
Rank this Week: 3125

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: 760

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/
  • May 22

    DOJ Announces Plea Agreements with Five Major Banks for Manipulating Foreign Currency Exchange Market

    DOJ Announces Plea Agreements with Five Major Banks for Manipulating Foreign Currency Exchange Market
    On May 20, the DOJ announced plea agreements with five major banks relating to manipulations of foreign currency exchange markets. Four of the banks pled guilty to felony charges of “conspiring to manipulate the price of U.S. dollars…
  • May 22

    CFPB Fines Worldwide Payment System $25 Million for Alleged Deceptive Practice

    CFPB Fines Worldwide Payment System $25 Million for Alleged Deceptive Practice
    On May 19, the CFPB announced a stipulated final judgment against a California-based worldwide payment system company. According to the CFPB’s complaint, filed the same day, the defendant (i) failed to honor advertised promotional…
  • May 22

    CFPB Introduces Financial Coaching Initiative

    CFPB Introduces Financial Coaching Initiative
    On May 20, the CFPB launched its Financial Coaching Initiative, an educational program designed to help “recently-transitioned veterans and economically vulnerable consumers.” The program places 60 certified financial coaches…
Rank this Week: 1087

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: 1238

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/
  • May 26

    Fintech and Finance: How to be Part of the Fintech Investment Boom

    Fintech and Finance: How to be Part of the Fintech Investment Boom
    This article was originally published in Tech City News on May 6, 2015. Much has been made of the UK’s growing fintech industry. Research published by Accenture in 2014 showed the UK and Ireland enjoyed a growth rate…
  • May 20

    SEC Proposes Rules to Modernize Reporting by Investment Advisers and Investment Companie

    SEC Proposes Rules to Modernize Reporting by Investment Advisers and Investment Companie
    The Securities and Exchange Commission (SEC) today proposed rules, forms and amendments to modernize and enhance the reporting and disclosure of information by investment advisers and investment companies. Investment advisers. The investment…
  • May 15

    Have you filed your BE-10? Deadline is approaching

    Have you filed your BE-10? Deadline is approaching
    Mandatory reporting required by the Bureau of Economic Analysis on Form BE-10 – 2014 Benchmark Survey of U.S. Direct Investment Abroad Investment managers, general partners, hedge funds and private equity funds are among those that may…
Rank this Week: 2120

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 28

    Two States Challenge Regulation A+

    Two States Challenge Regulation A+
    By Matthew Garza, J.D.Massachusetts and Montana have filed petitions for court review of Regulation A+, adopted unanimously by the SEC on March 25 to raise the dollar limit for smaller offerings that are exempt from Securities Act…
  • May 27

    Chairman Massad Concerned About Proposed EU Legislation on Benchmark Supervision

    Chairman Massad Concerned About Proposed EU Legislation on Benchmark Supervision
    By Lene Powell, J.D.In the wake of multiple enforcement actions against major banks for benchmark rate rigging, CFTC Chairman Timothy Massad sounded a warning about legislation being considered in Europe that could stop European banks and…
  • May 26

    JPMorgan Fights Off Another Suit Over Its Failure to Control the London Whale

    JPMorgan Fights Off Another Suit Over Its Failure to Control the London Whale
    By Matthew Garza, J.D.A derivative suit filed by a pension fund against officers and directors of JPMorgan Chase for their role in failing to maintain control of the “London Whale” was dismissed by the Delaware Court of Chancery…
Rank this Week: 383

Kueser Law Firm Blog

Kueser Law Firm Blog

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

http://blog.jmkesquire.com
Rank this Week: 4858

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/
Rank this Week: 2244

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
Rank this Week: 1228

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
  • May 29

    Michael “Air” Jordan Sees $15 Mil Disappear into Thin Air

    Michael “Air” Jordan Sees $15 Mil Disappear into Thin Air
    New home sales are down. They're only a small part of the much larger housing market, but their numbers are important to the U.S. economy in terms of job creation along with being a strong indicator of builder confidence about the future.
  • May 8

    Not Surprisingly, HAMP & HARP Programs Extended Once Again

    Not Surprisingly, HAMP & HARP Programs Extended Once Again
    The FHFA has announced that it has extended Fannie and Freddie's participation in the Home Affordable Modification Program (HAMP) and the Home Affordable Refinance Program (HARP) for an additional year, until the end of 2016.
  • May 8

    Wells Fargo Got the Message from Mandelman’s DOERS… 72-year-old with Alzheimers Will Die at Home

    Wells Fargo Got the Message from Mandelman’s DOERS… 72-year-old with Alzheimers Will Die at Home
    Thank you to my DOERS who DID SOMETHING to let Wells Fargo know how they felt about what was about to happen to Linda Normand. And thank you to Wells Fargo for DOING the RIGHT THING for Linda and her family.
Rank this Week: 106

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/
  • 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…
  • Apr 27

    Quicken Loans Takes on the DOJ & HUD

    Quicken Loans Takes on the DOJ & HUD
    Quicken Loans, the nation’s largest Federal Housing Administration (FHA)-backed mortgage lender, filed suit on Friday, April 17 in the United States District Court in Detroit against the United States Department of Justice (DOJ)…
Rank this Week: 3970

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • May 28

    Former Short Sale Specialist Convicted of Mortgage and Tax Fraud

    Former Short Sale Specialist Convicted of Mortgage and Tax Fraud
    Mortgage Fraud Blog. Charise Stone, 46, Ashburn, Virginia resident was convicted by a federal jury on 13 charges related to mortgage fraud, passing fictitious financial instruments, and tax fraud. The defendant was indicted on April 15, 2014.…
  • May 27

    Judge Hands Down 30 Year Prison Sentence to Leader of Mortgage and Investment Fraud Scheme

    Judge Hands Down 30 Year Prison Sentence to Leader of Mortgage and Investment Fraud Scheme
    Mortgage Fraud Blog. James Tyson, Jr., 34, Charlotte, North Carolina, was sentenced by Senior U.S. District Judge Graham C. Mullen to 30 years in prison, Carrie Tyson, 61, Winterville, North Carolina, was sentenced to 18 years in prison,…
  • May 26

    It’s Prison Time for Man Who Ran $4M Loan Fraud Scheme

    It’s Prison Time for Man Who Ran $4M Loan Fraud Scheme
    Mortgage Fraud Blog. Julian Martin Gaspar Vazquez, 52, of Mexico was sentenced on May 22, 2015, by United States District Judge William P. Dimitrouleas, to forty-one months imprisonment, to be followed by five years of supervised release for…
Rank this Week: 3

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/
Rank this Week: 4042

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/
  • May 28

    NC Business Court: Motions To Amend And The Statute Of Limitation

    NC Business Court: Motions To Amend And The Statute Of Limitation
    Maybe you have the same nightmare that I do.  You have moved to amend your Complaint to add a new defendant.  The statute of limitations is about to run, but your motion to amend was made before the end of the limitations…
  • May 19

    NC Business Court Gives Full Faith And Credit To LegalZoom's California Class Action Settlement

    NC Business Court Gives Full Faith And Credit To LegalZoom's California Class Action Settlement
    There are probably some of you who lie awake at night wondering whether Leagalzoom's offering of do it yourself lawyering products will be found to be the unauthorized practice of law (UPL) in North Carolina. For those few of you, that…
  • May 15

    Two Claims You May Not Want To Make In North Carolina

    Two Claims You May Not Want To Make In North Carolina
    I said yesterday that there was too much in DSM Dyneema, LLC v. Thagard, 2015 NCBC 47 for just one post, so here are the rest of the key points from the case.  They involve two claims you might not want to bother to make in North…
Rank this Week: 4622

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: 1437

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • May 26

    Finovate Summary

    Finovate Summary
    Two DWT payments lawyers, Gwen Fanger and Pete Johnson, attended the Finovate conference in San Jose on May 12th and 13th.  The Finovate conference focuses on FinTech innovations and is structured as a series of 7-minute, individual…
  • May 22

    Additional Recent Actions Added To UDAAP Database

    Additional Recent Actions Added To UDAAP Database
    The CFPB has issued new enforcement actions that include allegations of unfair, deceptive, or abusive acts and practices (UDAAP) in connection with consumer financial products. We’ve updated our UDAAP Database with the most recent…
  • May 13

    Legislation Proposed to Ban Mandatory Arbitration Clause

    Legislation Proposed to Ban Mandatory Arbitration Clause
    On April 29, 2015, Senator Al Franken (D-MN) and Representative Hank Johnson (D-GA) introduced the Arbitration Fairness Act of 2015 (AFA), which would amend the Federal Arbitration Act, 9 U.S.C. §§ 1 et seq. (FAA), by invalidating…
Rank this Week: 2622

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/
  • May 28

    An Economist's Perspective of Fiduciary Monitoring of Investment

    An Economist's Perspective of Fiduciary Monitoring of Investment
    I am delighted to share my recent article with readers of this pension blog. Entitled "An Economist's Perspective of Fiduciary Monitoring of Investments" (by Dr. Susan Mangiero and published in Bloomberg BNA Pensions & Benefits…
  • May 26

    Derivatives, De-Risking and Disclosure

    Derivatives, De-Risking and Disclosure
    According to survey results provided in "Pension Plan De-Risking, North America 2015" (published by Clear Path Analysis and sponsored by Prudential Retirement), "pension risk management remains a principal concern for many plan sponsors."…
  • May 26

    Free Continuing Legal Education - Pension De-Risking Webinar

    Free Continuing Legal Education - Pension De-Risking Webinar
    There are seven complimentary passes left for anyone who is interested in attending "Pension De-Risking for Employee Benefit Sponsors: Avoiding Litigation and Enforcement Action." This educational webinar is sponsored by Strafford…
Rank this Week: 2080

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: 1409

Private Funds Law Update

Private Funds Law Update

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

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

    SEC Announces 2015 Exam Prioritie

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

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

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

    AIFMD Reporting by non-EEA AIFM

    AIFMD Reporting by non-EEA AIFM
    This post was authored by Winston Penhall, Editor of this blog and partner in the Investment Funds practice of Reed Smith LLP, London and Paul Moran, Reed Smith trainee, London.  Application The Alternative Investment Fund Managers…
Rank this Week: 3831

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: 3197

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: 1824

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • May 29

    SEC Issues and Guidance Update on Cybersecurity

    SEC Issues and Guidance Update on Cybersecurity
    Last month, the SEC division of Investment Management released Investment Management Guidance in which it discusses a number of measures that investment advisers may wish to consider when addressing cybersecurity risks. This guidance is just…
  • May 22

    QUESTIONS SURROUND IMPACT OF LABOR DEPARTMENT FIDUCIARY RULE ON FINANCIAL ADVISERS

    QUESTIONS SURROUND IMPACT OF LABOR DEPARTMENT FIDUCIARY RULE ON FINANCIAL ADVISERS
    In the wake of the re-proposal by the U.S. Department of Labor of its so-called "Fiduciary Rule," there are a number of questions regarding how the rule if adopted, will impact those providing financial advice to employee benefit plans and…
  • May 15

    LPL FINANCIAL ORDERED BY FINRA TO PAY $11.7 MILLION

    LPL FINANCIAL ORDERED BY FINRA TO PAY $11.7 MILLION
    Earlier this month, the Financial Industry Regulatory Authority ("FINRA") announced that it had fined LPL Financial ("LPL") $10 million for lack of supervision in several areas of its operations, including sales of ETFs, variable annuities,…
Rank this Week: 4091

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/
  • May 22

    FINRA’s Regulatory Arm Announces Strengthening of Sanction Guidelines for Fraudulent Conduct by Broker

    FINRA’s Regulatory Arm Announces Strengthening of Sanction Guidelines for Fraudulent Conduct by Broker
    In a move intended to emphasize that FINRA’s ultimate mandate is to protect investors, the SRO’s National Adjudicatory Council last week issued newly-revised Sanction Guidelines including tougher ranges of recommended punishments…
  • May 8

    FINRA Fines LPL for Failure to Supervise on Complex Product

    FINRA Fines LPL for Failure to Supervise on Complex Product
    What are non-traditional exchange-traded funds (ETFs) and non-traded real estate investment trusts (REITs)? Why are independent broker dealers selling these complex products without proper supervision? FINRA wants to know and just slammed…
  • May 1

    Liability of Commercial Banks for Investment Advisor Fraud

    Liability of Commercial Banks for Investment Advisor Fraud
    An increasing issue in investment fraud cases is the liability of commercial banks for aiding and abetting fraud by an investment advisory firm that engages in fraud and then goes defunct. Such firms typically house their investment…
Rank this Week: 2472

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/
  • May 28

    Former SEC ALJ Claims Bia

    Former SEC ALJ Claims Bia
    More information coming out from the Wall Street Journal's article on the failure of defendants to get a fair trial before the SEC's own administrative law judges.According to the article, one former SEC judge said she thought the system…
  • May 27

    SEC Wins Big When Bringing Cases In Front of its Own Judge

    SEC Wins Big When Bringing Cases In Front of its Own Judge
    This story is not going away, and the SEC needs to pull its collective heads out of the sand and stop denying what everyone knows. Using an administrative law judge, which you appoint, to decide charges that you decided to bring, by a…
  • May 22

    SEC News - FCPA Violations and Fraud

    SEC News - FCPA Violations and Fraud
    SEC Charges BHP Billiton With Violating FCPA at Olympic GamesGlobal resources company BHP Billiton has been charged with violating the Foreign Corrupt Practices Act (FCPA) when it sponsored the attendance of foreign government officials at…
Rank this Week: 676

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

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

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

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

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

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

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 247