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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
  • Apr 23

    Recommended Reading: Trends in Board of Director Compensation

    Recommended Reading: Trends in Board of Director Compensation
    This week, we enjoyed reading this article on Trends in Board of Director Compensation by Steve Pakela and John Sinkular. The article discusses the various trends and key elements associated with the compensation of non-employee directors,…
  • Apr 22

    House Passes Cybersecurity Information Sharing Bill

    House Passes Cybersecurity Information Sharing Bill
    On Wednesday, April 22, 2015, the House passed H.R. 1560, the Protecting Cyber Networks Act, sponsored by House Intelligence Committee Chairman Devin Nunes (R-CA), with Ranking Member Adam Schiff (D-CA) as lead cosponsor.  The bill…
  • Apr 21

    Southern District Allows SEC Insider Trading Case to Proceed, Distinguishing Newman

    Southern District Allows SEC Insider Trading Case to Proceed, Distinguishing Newman
    A recent decision from the United States District Court for the Southern District of New York allowing a U.S. Securities and Exchange Commission (SEC) civil enforcement action to proceed against two former stockbrokers for alleged insider…
Rank this Week: 2954

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • 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…
  • Jan 20

    How Oil and Gas Companies can Optimize Technology Performance and Costs During Oil Price Volatility

    How Oil and Gas Companies can Optimize Technology Performance and Costs During Oil Price Volatility
    An unexpected surge in production coupled with weakened global demand has resulted in a 50 percent drop in the price of crude oil since June 2014 and currently averaging US$50 a barrel. The Organization of the Petroleum Exporting Countries…
  • Jan 13

    What You Need to Know About Abu Dhabi Global Market’s New Draft Regulation

    What You Need to Know About Abu Dhabi Global Market’s New Draft Regulation
    The Abu Dhabi Global Market, Abu Dhabi’s new financial free zone, located on Al Maryah Island, recently issued a first wave of draft regulations and related consultation papers. The Global Market’s general approach in the draft…
Rank this Week: 4811

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: 4247

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: 4239

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: 90

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: 4727

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/
  • Apr 22

    Do Not Go Gentle Into That Good Night

    Do Not Go Gentle Into That Good Night
    This post has absolutely nothing to do with banks or banking law. On the other hand, it involves a dark fantasy that many of us harbor, but few of us live out: killing your computer. When ctrl + alt +...
  • Apr 19

    Lizzie Warren's Latest Bad Idea

    Lizzie Warren's Latest Bad Idea
    Writing in Forbes, Tim Worstall dissects Elizabeth Warren's recent call for a tax on financial transactions and discovers that it's not only cancerous, but DOA. He first restates Warren's announced purpose for the tax. Among specific…
  • Apr 12

    The Fed's Cold Comfort To Colorado MJ Businesse

    The Fed's Cold Comfort To Colorado MJ Businesse
    I'm traveling this week on business, but I didn't want to leave town without a comment on the visit of Esther George. head of the Federal Reserve Bank of Kansas City, to Denver last week. She was invited to meet...
Rank this Week: 73

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: 3828

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: 1048

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1005

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: 151

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
  • Apr 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FINRA Named As Defendant In Case Alleging Altered Electronic FilesToday's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged…
  • Apr 20

    FINRA Named As Defendant In Case Alleging Altered Electronic File

    FINRA Named As Defendant In Case Alleging Altered Electronic File
    Today's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged destruction or alteration of evidence. Although that doesn't necessarily sound like a…
  • Apr 20

    SEC Awards Compliance Officer Million Dollar Whistleblower Bounty

    SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
    On April 22, 2015, the Securities And Exchange Commission announced it was awarding to a compliance professional a whistleblower award of between $1.4 and $1.6 million. According to the SEC's Press Release "SEC Announces Million-Dollar…
Rank this Week: 813

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 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…
  • Apr 14

    Harnessing Social Media in Proxy Contest: Not Just “Social”

    Harnessing Social Media in Proxy Contest: Not Just “Social”
    By Shane C. D'Souza, Deandra Schubert and Blake Jones Social media has revolutionized how stakeholders receive information about companies. An estimated 1.79 billion people used social media in 2014; 2.44 billion will by 2018.[1] Despite…
Rank this Week: 5041

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: 894

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: 1733

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: 1472

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: 1701

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: 1425

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: 1051

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: 4441

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/
  • Apr 23

    Appealing Real Estate Taxes in Florida

    Appealing Real Estate Taxes in Florida
    Authored by Jon Sacks, Heather S. Nason and Scott St. Amand, Jon Sacks, Heather S. Nason and Scott St. Amandand Jon Sacks, Heather S. Nason and Scott St. Amand of Rogers TowersAs the old saying goes, there are two certainties in life: death…
  • Apr 21

    The Inadvertent Error Defense to Violations of the Equal Credit Opportunity Act

    The Inadvertent Error Defense to Violations of the Equal Credit Opportunity Act
    Authored by Samantha Alves Orender of Rogers TowersThe Equal Credit Opportunity Act (the “ECOA”) prohibits creditors from discriminating against credit applicants based on race, religion, sex, national origin, marital status, and…
  • Apr 14

    Garnishing Non-Cash Proceeds from Sale of a Homestead

    Garnishing Non-Cash Proceeds from Sale of a Homestead
    Authored by Edward L. Kelly and Karl R. Grussand Edward L. Kelly and Karl R. Gruss of Rogers TowersCash proceeds obtained from the sale of a homestead property receive protection from creditors’ claims, provided the funds are not…
Rank this Week: 3185

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: 236

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/
  • Apr 25

    CFPB and FTC Announce Settlement with National Mortgage Servicing Company

    CFPB and FTC Announce Settlement with National Mortgage Servicing Company
    On April 21, the CFPB and the FTC announced a joint enforcement action against a national mortgage servicing company, ordering the company to pay roughly $63 million in relief and penalties for allegedly mishandling home loans for borrowers…
  • Apr 25

    CFPB Tackles Payment Processor for Charging Servicemembers Hidden Fees, Orders Over $3 Million in Consumer Relief

    CFPB Tackles Payment Processor for Charging Servicemembers Hidden Fees, Orders Over $3 Million in Consumer Relief
    On April 20, the CFPB announced an enforcement action against a Kentucky-based third-party processor of military allotments and its subsidiary – together “Respondents” – for allegedly charging servicemembers millions…
  • Apr 25

    FHFA: G-Fees to Remain at Current Level

    FHFA: G-Fees to Remain at Current Level
    On April 17, FHFA released the results of its Fannie Mae and Freddie Mac Guarantee Fee Review. The FHFA’s review considered the public responses to its June 2014 request for input, and according to the agency’s fact sheet, sought…
Rank this Week: 573

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: 3135

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/
  • Apr 21

    INVESTMENT ADVISER CONFLICTS OF INTEREST – BlackRock Censured; Compliance Officer Personally Liable

    INVESTMENT ADVISER CONFLICTS OF INTEREST – BlackRock Censured; Compliance Officer Personally Liable
    On April 20, 2015, the Securities and Exchange Commission (“SEC”) issued an order against an investment advisory firm and its former chief compliance officer, for violating Sections 206(2) and 206(4) and rule 206(4)-7 of the…
  • Apr 17

    DOL Issues Proposal on ERISA Fiduciarie

    DOL Issues Proposal on ERISA Fiduciarie
    On April 14, 2015, the Department of Labor issued its much anticipated re-proposal of regulations defining and expanding the persons who are treated as ERISA fiduciaries.  Under the proposal, subject to certain exceptions, all persons…
  • Apr 13

    Five Things to Know about New Jersey’s Taxation of Convertible Virtual Currency

    Five Things to Know about New Jersey’s Taxation of Convertible Virtual Currency
    On March 10, 2015, the New Jersey Division of Taxation issued Technical Advisory Memorandum TAM-2015-1, explaining its policy regarding convertible virtual currency.1 The IRS has held that convertible virtual currency (CVC), such as Bitcoin,…
Rank this Week: 647

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    NASAA Adopts Model Business Continuity Rule for Adviser

    NASAA Adopts Model Business Continuity Rule for Adviser
    By John M. Jascob, J.D.NASAA has adopted a state model rule and related guidance concerning business continuity and succession planning for investment advisers. The model rule and guidance are intended to ensure that smaller advisers fulfill…
  • Apr 23

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light
    By John Filar AtwoodFive state treasurers have written to the SEC asking it to adopt a rule to require all publicly traded companies to disclose their political spending. The treasurers of Oregon, North Carolina, Rhode Island, Washington and…
  • Apr 22

    ALJ Puts Agency’s Case Against ‘Turnaround Queen’ Tilton on Hold

    ALJ Puts Agency’s Case Against ‘Turnaround Queen’ Tilton on Hold
    By Mark S. Nelson, J.D.SEC administrative law judge (ALJ) Carol Fox Foelak has at least temporarily put the brakes on the agency’s administrative case against self-proclaimed “Turnaround Queen” Lynn Tilton and her firm…
Rank this Week: 34

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: 3791

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Mar 22

    A Short Post on Oil and Gas Bankruptcie

    A Short Post on Oil and Gas Bankruptcie
    It was not too long ago that a lender would consider an oil & gas company as a fairly safe credit.  However, the times are changing.   It is no secret that the current lower gas prices are due to upstream excess production,…
  • Mar 16

    7th Circuit Holds Construction Lender “Caused” M&M Liens when it Cut Off Funding, Can’t Seek Coverage Under Title Policy

    7th Circuit Holds Construction Lender “Caused” M&M Liens when it Cut Off Funding, Can’t Seek Coverage Under Title Policy
    Knowing when to cut your losses and walk a deal is a difficult skill to master.  In the construction loan context it is particularly difficult because a half completed building lacks the intended value anticipated on the loan.  On…
  • Mar 8

    You Never Know Where Your Last Email will be Published

    You Never Know Where Your Last Email will be Published
    A good piece of advice I once received when I was younger was: “Don’t write an email you wouldn’t want copied to the cover of the New York Times”.  In the past, it would take days of depositions in a lawsuit to…
Rank this Week: 4847

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 104

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/
  • Apr 15

    MBA’s Legal Issues & Regulatory Compliance Conference

    MBA’s Legal Issues & Regulatory Compliance Conference
    On Sunday, May 3, 2015, I will serve as a panelist at the Mortgage Bankers Association’s Legal Issues & Regulatory Compliance Conference at the Sheraton Chicago Hotel & Towers in Chicago, IL. More than 800 attorneys,…
  • Mar 16

    BofA’s Inconsistent Position

    BofA’s Inconsistent Position
    Bank of America recently moved to dismiss a lawsuit filed by Ambac Assurance Corp. in New York state court, alleging $600 million in damages for fraudulent inducement in connection with payments it made under policies insuring faulty…
  • Feb 23

    Fraud Verdict Against Countrywide & BofA Upheld

    Fraud Verdict Against Countrywide & BofA Upheld
    BofA’s “hustling” attempt to overturn a $1.27 billion judgment against it and Countrywide—along with the individual defendant identified in the next paragraph, the “Defendants”—in the U.S. District…
Rank this Week: 903

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Apr 22

    Woman Indicted on Loan Modification Fraud Charge

    Woman Indicted on Loan Modification Fraud Charge
    Mortgage Fraud Blog. Constance Kanary, 52, Toledo, Ohio, is the subject of a two-count indictment charging her with participating a fraudulent home loan modification conspiracy. The defendant was charged with one count of conspiracy to commit…
  • Apr 22

    Former Loan Officer Pleads Guilty to Accepting Bribe

    Former Loan Officer Pleads Guilty to Accepting Bribe
    Mortgage Fraud Blog. Johnny Gutierrez, 50, Stafford, Virginia, a former loan officer at the Export-Import Bank of the United States pleaded guilty in federal court for accepting more than $78,000 in bribes in return for recommending the…
  • Apr 21

    Fraudster Jailed for Stealing More Than $187,000 in Mortgage Payment

    Fraudster Jailed for Stealing More Than $187,000 in Mortgage Payment
    Mortgage Fraud Blog. Mario Coniglione, 51, Staten Island, New York, was sentenced by Monmouth County Superior Court Judge Anthony J. Mellaci, Jr. to seven years in a New Jersey state prison for stealing more than  $187,000 from a pair of…
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/
  • Mar 1

    Data Security Breaches, Unauthorized Transfers, and Corporate Accout Takeovers ...What You Missed!

    Data Security Breaches, Unauthorized Transfers, and Corporate Accout Takeovers ...What You Missed!
    On Friday, I had the honor to join some distinguished speakers for an all-day continuing legal education seminar on computer technology and the law.  My fellow presenters were:Clark Walton, former CIA forensic computer analyst, lawyer…
  • Feb 9

    NC Commissioner of Banks Ray Grace Re-Appointed

    NC Commissioner of Banks Ray Grace Re-Appointed
    Commissioner Ray Grace -photo by M. CordellToday, Governor McCrory appointed Ray Grace to serve as North Carolina's Commissioner of Banks for another term.  Although Commissioenr Grace has been "appointed," the process actually works…
  • Jan 16

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?
    Earlier this week, the President announced a new cybersecurity initiative. The White House explained that:"[t]here is a growing perception that individuals have lost control of their personal information; a negative implication of such a…
Rank this Week: 3833

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/
  • Apr 22

    Business Court Denies TRO In The Midst of A Proxy Fight

    Business Court Denies TRO In The Midst of A Proxy Fight
    The Defendant in Allcorn v. Bradley Creek Boatominium, Inc. sought an injunction against the Plaintiffs in the midst of a proxy fight as to their allegedly defamatory statements in connection with the election of the Defendant's board of…
  • Apr 14

    Some Stats On The Business Court

    Some Stats On The Business Court
    When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a year, showing the…
  • Apr 10

    NC Business Court Takes On The Oxford Comma

    NC Business Court Takes On The Oxford Comma
    You most likely have heard of the Oxford Comma.  It is also referred to as the "serial comma."  If you are not familiar with this literary device, it is a comma placed before the word "and" or another conjunction (like or or nor) in…
Rank this Week: 698

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: 415

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Apr 23

    ABA Meeting Sheds Light on UDAAP Priorities and CFPB’s Project Catalyst Initiative

    ABA Meeting Sheds Light on UDAAP Priorities and CFPB’s Project Catalyst Initiative
    A team of DWT payments lawyers attended the ABA Business Law Section’s spring meeting in San Francisco last week. Adam Maarec from our Washington, DC office moderated a lively roundtable titled A Roadmap for Credit Card Lending:…
  • Apr 20

    Mobile Wallet Discussion at 2015 FinTech Startups Conference

    Mobile Wallet Discussion at 2015 FinTech Startups Conference
    At the recent 3rd Annual FinTech Startups Conference in New York City, DWT payments team member Claude Goetz joined a panel that included Jenny Fielding (Techstars), Mark Egerman (Cover), Michael Dudas (Button), and Andrew Dresner (JP Morgan…
  • Apr 16

    Legal Departments: New PCI DSS Requirements Mandatory in June

    Legal Departments: New PCI DSS Requirements Mandatory in June
    PCI Council publishes new PCI Data Security Standard Version 3.1 and provides very short time to implement new encryption standards. The PCI Council just published a new version of the PCI Data Security Standard (PCI DSS).  The…
Rank this Week: 2623

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/
  • Apr 21

    Employee Ownership and ERISA Litigation

    Employee Ownership and ERISA Litigation
    I had the pleasure of speaking at the sold-out National Center of Employee Ownership ("NCEO") conference on April 21 about board education, compensation metrics and procedural prudence. Consonant with NCEO's commitment to providing…
  • Apr 16

    ERISA Litigation Predicted To Rise

    ERISA Litigation Predicted To Rise
    I have just returned from Chicago where I spent two days listening to transaction attorneys, litigators and insurance company executives talk about trends in ERISA enforcement and legal disputes. Sponsored by the American Conference…
  • Apr 15

    Pension Risk Management For Public Plan

    Pension Risk Management For Public Plan
    Dr. Susan Mangiero will speak about pension risk management on June 1, 2015. Part of the annual conference for the Government Finance Officers Association ("GFOA"), this session will examine changing rules and economics that go beyond…
Rank this Week: 3972

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: 361

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: 4425

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: 3214

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: 4938

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Apr 2

    SEC Vows To Be Aggressive in 2015

    SEC Vows To Be Aggressive in 2015
    Last month at the Annual Conference of the Securities and Exchange Commission ("SEC"), the Commission revealed its enforcement statistics for 2014, including a record number of enforcement actions (755) and monetary relief obtained ($4.1…
  • Mar 23

    SEC Charges Three Investment Adviser Firms with Improper Registration in Wyoming

    SEC Charges Three Investment Adviser Firms with Improper Registration in Wyoming
    On February 4, 2015, the SEC issued cease and desist orders against three investment advisers that fraudulently maintained registration with the SEC by listing Wyoming as their principal place of business on their Forms ADV. These three…
  • Mar 2

    New "Invest Tennessee Exemption" Takes Effect

    New "Invest Tennessee Exemption" Takes Effect
    Tennessee's new "Invest Tennessee Exemption" to the state's securities registration requirements went into effect on January 1, 2015. Like other securities exemption laws recently adopted by other states, Tennessee's exemption allows for the…
Rank this Week: 4688

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/
  • Apr 22

    Merrill Lynch Fined for Faulty Trade Reporting

    Merrill Lynch Fined for Faulty Trade Reporting
    Merrill Lynch was fined almost $20 million by the Financial Conduct Authority (FCA) in London for incorrectly reporting more than 35 million transactions from 2007 to 2014. Merrill Lynch didn’t report, at all, another 120,000…
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
Rank this Week: 797

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/
  • Apr 24

    SEC News - Fraud, FCPA Violations, and Microcap Scheme

    SEC News - Fraud, FCPA Violations, and Microcap Scheme
    L.A.-Based Pacific West Capital Group Charged With Fraud in Sale of Life Settlement InvestmentsLos Angeles-based Pacific West Capital Group Inc. and its owner have been charged with fraud in the sale of “life settlement”…
  • Apr 24

    SEC News - Military Investment Scheme, Stolen Funds, Fraud

    SEC News - Military Investment Scheme, Stolen Funds, Fraud
    SEC Halts Investment Scheme Targeting Military PersonnelA man living in central Texas faces fraud charges and an asset freeze after being accused of telling false tales about his stockbroking experience to lure current and former U.S.…
  • Apr 22

    SEC News - Undisclosed Perks, Insider Trading, and Fraud

    SEC News - Undisclosed Perks, Insider Trading, and Fraud
    Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From InvestorsAn investment adviser and her New York-based firms have been accused of hiding the poor performance of loan assets in three…
Rank this Week: 588

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: 246

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Feb 23

    Be Proactive to Grow Your Busine

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

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP
    We invited some local tech founders over to our office Wednesday night to meet Scott Kupor Managing Partner at Andreessen Horowitz. We have been close with Scott since before he joined Andreessen Horowitz. We thought this would be a good...
  • Sep 9

    WedPics CEO Shares Investor Email

    WedPics CEO Shares Investor Email
    I referenced WedPics' CEO/founder Justin Miller in my last blog post. He sends a monthly email to us. His emails serve 2 purposes: 1) Keeps Justin and WedPics top of mind 2) Shows off his continued success as he thinks...
Rank this Week: 660