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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 25

    NYC to Ban Inquiries Regarding Applicants’ Compensation History

    NYC to Ban Inquiries Regarding Applicants’ Compensation History
    As previously reported, New York City is set to ban firms from inquiring about prospective employees’ salary history in connection with the recruiting and hiring process.  On May 4, 2017, Mayor Bill de Blasio signed the bill into…
  • May 24

    DOL’s Fiduciary Rule to Become Partially Effective June 9, 2017

    DOL’s Fiduciary Rule to Become Partially Effective June 9, 2017
    The Fiduciary Rule, which expands the circumstances under which providers of investment advice may be considered Employee Retirement Income Security Act of 1974 (ERISA) fiduciaries, was initially published in the Federal Register on April 8,…
  • May 24

    Recommended Reading: Looking Behind the Declining Number of Public Companie

    Recommended Reading: Looking Behind the Declining Number of Public Companie
    This week we highlight an analysis by Ernst & Young on the trends in US capital markets. The capital markets landscape has changed considerably over the past two decades, including the expansion of private capital markets and related…
Rank this Week: 1609

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • May 16

    Why should Qatari, Saudi and UAE organizations care about the European Union’s new General Data Protection Regulation?

    Why should Qatari, Saudi and UAE organizations care about the European Union’s new General Data Protection Regulation?
    The compliance world will change dramatically for a number of GCC organizations on 25 May 2018. In just over one year’s time GCC organizations that: have a branch, subsidiary or single representative in the European Union…
  • Feb 28

    The Legal Landscape for Drones in the UAE

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

    The Legal Status of Bitcoin in the United Arab Emirate

    The Legal Status of Bitcoin in the United Arab Emirate
    This is the first in a series of articles considering legal issues relating to bitcoin, cryptocurrencies and blockchain in the UAE. In this article we focus on the legal status of bitcoin and address the question of whether bitcoin is banned…
Rank this Week: 3890

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: 4827

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: 4920

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: 313

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: 3189

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 21

    Some Of The Opressed Like Thier Oppressor

    Some Of The Opressed Like Thier Oppressor
    When I recently read J.D. Vance's memoir "Hillbilly Elegy," I was struck by comments he made in defense of the much-maligned payday lending industry. After researching the issue a bit, I discovered that I was not the only reader…
  • May 14

    SCOTUS Affirms The Theoretical Validity of Bank Scapegoating

    SCOTUS Affirms The Theoretical Validity of Bank Scapegoating
    Last week, the US Supreme Court, in a 5-3 decision, gave both municipalities (in this case, the City of Miami) and the mortgage lenders they love to sue (in this case, Bank of America, Wells Fargo, and Citigroup), some good...
  • May 7

    Flat Curve Could Yield Sharp Result

    Flat Curve Could Yield Sharp Result
    We've long been concerned about "flat yield curves." No, that term has absolutely no connection with employees of Wilhelmina Model Management. It refers to the difference in interest rates that the government has to pay on…
Rank this Week: 1056

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: 1595

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: 2391

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 987

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: 1585

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 22

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FBI Agent Josh And Where's Waldo? Where's OWB? This is agent Josh, we were sent by the Acting Director of Federal Bureau of Investigation (Andrew G. McCabe), we are currently in Africa as an FBI/ United States delegate that have been…
  • May 20

    FBI Agent Josh and Where's Waldo? Where's OWB?

    FBI Agent Josh and Where's Waldo? Where's OWB?
    Just a couple of fun items for those of you unfortunate to find yourself in the office on the Friday before the Memorial Day weekend.This morning, the following email appeared in my Inbox:NOTICE OF ONGOING INVESTIGATION FBI OFFICE…
  • May 18

    FINRA's Willy Nilly Tax Lien Settlement

    FINRA's Willy Nilly Tax Lien Settlement
    Many taxpayers lack the funds to pay their taxes when the time is due. In response to such a shortfall, individuals are faced with many choices: some legal, some not; some sensible, some foolish. Consequently, the April filing deadline often…
Rank this Week: 1464

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

    Investment Canada Act Review Threshold Increases to C$800 Million

    Investment Canada Act Review Threshold Increases to C$800 Million
    By Oliver J. Borgers and Michele Siu Today the pre-closing review threshold that applies to most direct acquisitions of Canadian businesses by non-Canadian[1], non-state owned investors from WTO member states has risen from C$600 million to…
  • Mar 24

    Ontario’s Bulk Sales Act has been repealed

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

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

    Canadian Securities Administrators Publish Report and Guidelines on Social Media Use by Reporting Issuer
    By David E. Woollcombe and Claire Gowdy We recently wrote an article for The Canadian Securities Regulatory Monitor, McCarthy Tétrault’s blog covering securities regulatory developments, that we believe is of…
Rank this Week: 4118

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 1203

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: 4270

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • May 22

    CFTC Launches LabCFTC as Major Fintech Initiative

    CFTC Launches LabCFTC as Major Fintech Initiative
      On May 17, 2017, the Commodity Futures Trading Commission (“CFTC“) approved the creation of LabCFTC, which it describes as “a new initiative aimed at promoting responsible fintech innovation to improve the quality,…
  • May 22

    European Parliament Adopts Resolution on FinTech

    European Parliament Adopts Resolution on FinTech
      On May 17, 2017, the European Parliament voted in plenary to adopt a resolution on FinTech and the influence of technology on the future of the financial sector. The provisional text (P8_TA-PROV(2017)0211) of the resolution has been…
  • May 22

    European Commission to Publish CMU Midterm Review on June 7, 2017

    European Commission to Publish CMU Midterm Review on June 7, 2017
      On May 18, 2017, Ugo Bassi, Director of Financial Markets, European Commission DG FISMA, confirmed that the Commission will publish its midterm review of the capital markets union (“CMU“) on June 7, 2017. Mr. Bassi stated…
Rank this Week: 3628

Financial Institutions Law Blog

Financial Institutions Law Blog

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

http://www.financialinstitutionlawblog.com/
Rank this Week: 2366

Financial Institutions Legal…

Financial Institutions Legal Snapshot

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

http://www.financialinstitutionslegalsnapshot.com/
  • May 25

    Asbestos exclusion upheld in US

    Asbestos exclusion upheld in US
    An exclusion for claims ‘arising out of asbestos’ was upheld by a US appeal court because it is unambiguous and therefore enforceable. The appeal court overturned a $36 million judgment against the insurer, which is only part…
  • May 22

    Exclusions for faulty workmanship & recalls rejected (US)

    Exclusions for faulty workmanship & recalls rejected (US)
    A Los Angeles court found the insurer liable for a damaged shipment of corn syrup, rejecting the defences that two exclusions for precautionary recalls and faulty workmanship resulting in goods being restored, repaired or replaced applied…
  • May 22

    Claim rejected for misrepresentation (US)

    Claim rejected for misrepresentation (US)
    A Pennsylvania court held that the insurer was not liable because of misrepresentation for a portion of a $227 million settlement by a building owner arising from a building collapse that took seven lives and injured 12 people. The event…
Rank this Week: 908

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • May 25

    Travis Nelson Elected Chair of New Jersey State Bar Banking Law Section

    Travis Nelson Elected Chair of New Jersey State Bar Banking Law Section
    On May 19, 2017, at the Annual Meeting of the New Jersey State Bar Association, Travis Nelson was elected Chair of the Banking Law Section. Travis, who is resident in the firm’s Princeton and New York offices, previously served as Vice…
  • May 19

    “LabCFTC” Launched by the CFTC

    “LabCFTC” Launched by the CFTC
    On May 17, 2017, Commodity Futures Trading Commission (“CFTC”) Acting Chairman J. Christopher Giancarlo announced an “important step forward” in bringing the CFTC’s regulations into the “digital world of…
  • Apr 27

    Blockchain Technology Draws Request for Information from UN

    Blockchain Technology Draws Request for Information from UN
    Following the trend of regulators across the globe, the United Nations Office for Project Services’ (“UNOPS”) issued a request for information regarding the application of blockchain technologies on April 24, 2017.  The…
Rank this Week: 1540

Florida Banking Law Blog

Florida Banking Law Blog

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

http://www.floridabankinglawblog.com/
Rank this Week: 3789

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: 585

InfoBytes Blog

InfoBytes Blog

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

http://www.infobytesblog.com/
  • Mar 3

    FTC Issues New Top 10 Consumer Complaint Categories in Annual Summary

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

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

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

    District Court Denies Injunction Against “Operation Choke Point” Activitie

    District Court Denies Injunction Against “Operation Choke Point” Activitie
    On February 23, a U.S. District Court for the District of Columbia issued a Memorandum Opinion denying a request for injunctive relief sought by a group of payday lenders to stop “Operation Choke Point” – a DOJ initiative…
Rank this Week: 4139

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: 874

Investment Fund Law Blog

Investment Fund Law Blog

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

http://www.investmentfundlawblog.com/
  • Oct 25

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

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

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

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

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 3611

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 26

    Acting SG urges justices to hear SLUSA case, provide uniformity

    Acting SG urges justices to hear SLUSA case, provide uniformity
    By Mark S. Nelson, J.D.The Acting U.S. Solicitor General has asked the Supreme Court to take a case raising the question of whether a state court may hear a case that is a covered class action but raises only claims brought under the…
  • May 25

    American Pipe tolls statute of limitations for class actions too

    American Pipe tolls statute of limitations for class actions too
    By Anne Sherry, J.D.Assessing the viability of a securities fraud class action, the Court of Appeals for the Ninth Circuit held that the statute of limitations was tolled during the pendency of two prior class actions. The court read American…
  • May 24

    In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review

    In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review
    By John M. Jascob, J.D., LL.M.In light of the Tenth Circuit’s decision to deny the SEC’s petition for rehearing en banc of Bandimere v. SEC, the SEC has stayed certain administrative proceedings assigned to an administrative law…
Rank this Week: 2384

Kueser Law Firm Blog

Kueser Law Firm Blog

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

http://blog.jmkesquire.com
  • Jan 14

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

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

    FINRA BrokerCheck: Beware the … Blue … Flags?

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

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 5215

Lenders 360

Lenders 360

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

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

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

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

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

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

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

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 2216

Lenders 360.

Lenders 360.

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

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

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

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

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

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

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

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 3946

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 293

Mortgage Crisis Watch

Mortgage Crisis Watch

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

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

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue

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

    Wells Accused of Profiting from Foreclosure Relief Program

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

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

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case
    Evidence is mounting that the Consumer Financial Protection Bureau (CFPB) and the Department of Justice (DOJ) are taking a renewed interest in investigating possible redlining—the practice of lenders charging certain groups more for…
Rank this Week: 3950

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • May 23

    Non-profit ED and Wife Guilty of Mortgage Fraud and Corruption

    Non-profit ED and Wife Guilty of Mortgage Fraud and Corruption
    Mortgage Fraud Blog. Kwame Insaidoo 60, Bay Shore, Long Island, New York, the former executive director of United Block Association (“UBA”), a New York-based non-profit organization, and his wife Roxanna Insaidoo, 63, Bay Shore,…
  • May 23

    Mortgage Foreclosure Rescue Attorney Sentenced to Prison

    Mortgage Foreclosure Rescue Attorney Sentenced to Prison
    Mortgage Fraud Blog. Drew Alia, 40, Philadelphia, Pennsylvania, attorney, was sentence to a 12 month and 1 day term of imprisonment for willfully failing to file federal income tax returns for tax years 2010 through 2013 . Alia…
  • May 23

    Real Estate Investor Pleads Guilty In Borrower Kickback Scheme

    Real Estate Investor Pleads Guilty In Borrower Kickback Scheme
    Mortgage Fraud Blog. Thomas L. Boyd, 44, Memphis, Tennessee, are real estate investor, pled guilty to bank fraud.  In September 2016, Boyd was indicted by a federal grand jury in connection with a scheme to fraudulently…
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/
  • May 8

    Can Young Lawyers Learn Something From Older Lawyers About Managing Their Professional Reputations Online (and Vice Versa)?

    Can Young Lawyers Learn Something From Older Lawyers About Managing Their Professional Reputations Online (and Vice Versa)?
    I thought I'd share an article that was published this week in the North Carolina Lawyer magazine that might be of interest to some of you.Can Young Lawyers Learn Something From Older Lawyers About Managing Their Professional Reputations…
  • Mar 5

    A New Chapter

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

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

    The FCC Creates Privacy, Data Protection, and Data Breach Rules for Internet Service Provider
    The Federal Communications Commission is venturing into new areas of privacy regulation.  By a narrow vote, the FCC has approved new rules that govern how internet service providers ("ISPs") use consumers' information.   ISPs long…
Rank this Week: 4002

NextGen Financial Services Report

NextGen Financial Services Report

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

http://www.nextgenfinancialservicesreport.com/
Rank this Week: 1901

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 7

    It Doesn't Take Magic Words To Revoke An Offer

    It Doesn't Take Magic Words To Revoke An Offer
    The lawyers in Baker v. Bowden, 2017 NCBC 30, decided this week by Judge Robinson, were negotiating a settlement agreement by email.  The Plaintiff thought that it had a deal.  When the Defendant balked, the Plaintiff moved the…
  • Mar 28

    First Published Opinion From New Business Court Judge Conrad

    First Published Opinion From New Business Court Judge Conrad
    Business Court Judges don't have to issue written Opinions in cases granting Preliminary Injunctions.  (G.S. § 7A-45.3 limits the obligation to issue a written Opinion to rulings rendered per NCRCP 12, 56, 59, and 60).  But…
  • Mar 15

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?
    If I asked you if you were familiar with Rule 13(f) of the NC Rules of Civil Procedure, I'm betting that you would respond with a glassy stare and a slack jaw.  That Rule deals with a counterclaim that you should have made in your…
Rank this Week: 4483

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.

https://ofac-sdn-list-removal.com
Rank this Week: 1431

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 18

    A “Bad Apples” Database for Banks? Not So Fast.

    A “Bad Apples” Database for Banks? Not So Fast.
    Overview Should banks, while guarding against rolling episodes of misconduct by bankers, have the ability to blackball employees from the banking industry?  A “bad apples” database of bank employees who have acted improperly…
  • May 5

    OCC Issues Draft Fintech Supplement to OCC Licensing Manual

    OCC Issues Draft Fintech Supplement to OCC Licensing Manual
    On March 15, 2017, the Office of the Comptroller of the Currency issued a “Draft Supplement” to the Comptroller’s Licensing Manual, entitled “Evaluating Charter Applications from Financial Technology Companies”…
  • Apr 5

    OCC Issues Third-Party Relationship Supplemental Examination Procedure

    OCC Issues Third-Party Relationship Supplemental Examination Procedure
    On January 24, 2017, the Office of the Comptroller of the Currency (the “OCC”) issued examination procedures to supplement its 2013 guidance Third-Party Relationships: Risk Management Guidance.  The examination procedures…
Rank this Week: 1664

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 15

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund
  • Apr 25

    Investment Fraud and the Role of Trust

    Investment Fraud and the Role of Trust
    This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is…
  • Apr 9

    Funny Courtroom Film Still Used For Teaching

    Funny Courtroom Film Still Used For Teaching
    I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us laugh? Tickling our…
Rank this Week: 726

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: 3325

Private Funds Law Update

Private Funds Law Update

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

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

    10 takeaway points on Luxembourg’s RAIF

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

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

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

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 4135

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: 2388

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
Rank this Week: 1285

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: 4606

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
Rank this Week: 3159

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

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

    Private Share Litigation Cases are Challenging

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

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 2129

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 23

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time
    I am not technically a criminal defense attorney, although sometimes criminal law invades my securities defense practice. That doesn't explain why I keep getting asked: "What is Obstruction of Justice."Of course, the explanation for the…
  • May 22

    ETFs Vs. Index Funds: Quantifying The Difference

    ETFs Vs. Index Funds: Quantifying The Difference
    ETFs Vs. Index Funds: Quantifying The Differences:Exchange-traded funds (ETFs) have become increasingly popular since its inception in 1993. But despite investor's love affair with ETFs, a closer look shows that index funds are still the top…
  • May 22

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call
    The SEC filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory filing.According to the SEC’s complaint, Robert W. Murray purchased Fitbit…
Rank this Week: 599