Most Popular Banking and Finance Law Blawgs Expanded View List View

Blogs 1 - 45 of 57

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
  • Oct 16

    SEC Proposes Amendments to Modernize and Simplify Regulation S-K

    SEC Proposes Amendments to Modernize and Simplify Regulation S-K
    On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to adopt proposed amendments to Regulation S-K that are intended to modernize and simplify certain disclosure requirements and related rules and forms. Below are…
  • Oct 11

    Nasdaq Proposes Changes to SPAC Listing Rule

    Nasdaq Proposes Changes to SPAC Listing Rule
    On October 11, 2017, the Securities and Exchange Commission (SEC) published for comment a proposal by NASDAQ Stock Market LLC (Nasdaq) to modify its initial and continued listing requirements for special purpose acquisition companies…
  • Sep 28

    Updated SEC Guidance Emphasizes Flexibility in Complying with Pay Ratio Disclosure Rule

    Updated SEC Guidance Emphasizes Flexibility in Complying with Pay Ratio Disclosure Rule
    Beginning in 2018, U.S. public companies will generally need to comply with the pay ratio disclosure rule under the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires that each such company disclose the annual total…
Rank this Week: 2400

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 3627

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: 3024

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: 2986

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: 1377

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: 2703

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/
  • Oct 15

    Cordray Certainly Does Not Have T-Rex Arm

    Cordray Certainly Does Not Have T-Rex Arm
    While Republicans in Congress (except those with upcoming election contests in "blue" or "purple" states) are busy pushing legislation that would, if not exactly castrate the CFPB, at the very least push its singing range…
  • Oct 1

    In Sickness and In Health

    In Sickness and In Health
    This blog was off the air last week because its author was in the hospital and will be off the air for at least another week while he completes out-patient infusion therapy which involves (legal) drugs whose side effects inhibit...
  • Sep 17

    We're Actually Nice To Them!

    We're Actually Nice To Them!
    When we last checked in on Vernon Hill almost two years ago, he had taken the millions he'd made in community banking in the U.S. and launched an effort to replicate his previous success on the mother ship: the U.K....
Rank this Week: 251

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/
  • Sep 26

    Financial Institutions...In the New

    Financial Institutions...In the New
    Equifax troubles continue as customers were lead to fictitious site.  (Maine Public 9.22.2017) Social Security Numbers are under scrutiny as a way to identify individuals.  (BDN 9.21.2017) Foreclosures in hurricane hit disaster…
  • Sep 12

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    High flood insurance premiums endanger waterfront investments.  (PPH 9.9.17) Data breach at Equifax puts 143 million people across the United States at risk of identity theft.  (Central Maine 9.8.17) Governor LePage supports a…
  • Aug 9

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Elizabeth Hayes, President and CEO of Infinity Federal Credit Union, was recently named one of the Women to Watch in 2017.  (Mainebiz 8.7.17) LEAF Commercial Capital, Inc. is acquired by People’s United Bank.  (PR Newswire…
Rank this Week: 2814

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Apr 23

    Blurring lines in enterprise SaaS; the race to own customer data

    Blurring lines in enterprise SaaS; the race to own customer data
    I’ve written before about the competitive nature of SaaS and the amount of entrants in every category. Lately after every conversation, I feel like the world is being divided into two camps and there is a massive battle going on in…
  • Mar 29

    Why I love and fear AWS

    Why I love and fear AWS
    The AWS launch of Amazon Connect (see techcrunch article) got me thinking about the current state of play in SaaS. Amazon Connect is a call center in a box, the same tech it uses in-house for their current platform. With that release,…
  • Mar 21

    Thoughts from Mulesoft and AppDynamics IPO Filing

    Thoughts from Mulesoft and AppDynamics IPO Filing
    I finally had a chance to take a quick read of the respective S1 filings for AppDynamics and Mulesoft. While the growth for each company is quite amazing, two thoughts jumped out at me. As we move to a cloud-only world with instant-on…
Rank this Week: 1178

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1291

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
  • Oct 18

    BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW
    Absurd Unexplained Public Customer FINRA Arbitration Decision http://www.brokeandbroker.com/3630/finra-arbitration-decision/BrokerAndBroker.com Blog's publisher Bill Singer, Esq. ain't always a popular guy. There are those who view him…
  • Oct 17

    Absurd Unexplained Public Customer FINRA Arbitration Decision

    Absurd Unexplained Public Customer FINRA Arbitration Decision
    BrokerAndBroker.com Blog's publisher Bill Singer, Esq. ain't always a popular guy. There are those who view him as an annoying gadfly, a blowhard, and an attention seeker. A lot of that comes from Wall Street interests and industry apologists…
  • Oct 16

    Securities Industry Commentator by Bill Singer, Esq.

    Securities Industry Commentator by Bill Singer, Esq.
    Investment Adviser Charged With Stealing $9 Million From Charitable Foundation (Press Release, Securities and Exchange Commission) https://www.sec.gov/litigation/litreleases/2017/lr23970.htmThe SEC charged John Rogicki, managing director and…
Rank this Week: 795

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
Rank this Week: 3558

Consumer Finance Law Ledger

Consumer Finance Law Ledger

By Fox Rothschild LLP.

https://consumerfinance.foxrothschild.com/
  • Sep 29

    Don’t Wait Until It’s Too Late: Statute of Limitations for Negligent Appraisal Runs From Date of Closing

    Don’t Wait Until It’s Too Late: Statute of Limitations for Negligent Appraisal Runs From Date of Closing
    When making a loan secured by a mortgage on residential real property, lenders typically order an appraisal and rely upon the value provided by that appraisal. How quickly must a lender sue an appraiser if the appraisal was negligently…
  • Sep 1

    The CFPB Takes Action To Ban Credit Repair Company

    The CFPB Takes Action To Ban Credit Repair Company
    On August 30, 2017, the Consumer Financial Protection Bureau (CFPB) and Prime Marketing Holdings L.L.C. filed their proposed stipulated final judgment and order in United States District Court, the Central District of California to resolve a…
  • Sep 1

    Implications of the CFPB’s Arbitration Rule

    Implications of the CFPB’s Arbitration Rule
    On July 10, 2017, the Consumer Financial Protection Bureau issued its arbitration agreements rule which implemented Section 1028(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The rule will become effective…
Rank this Week: 1002

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: 4527

Dividends and Preferences

Dividends and Preferences

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

http://www.dividendsandpreferences.com/
  • 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…
  • Apr 19

    Securities Law FAIL

    Securities Law FAIL
    Longtime viewers of this blog will recall that one of my favorite memes is -- "Try Not to Violate Securities Laws."  It never ceases to amaze me how easily and often folks violate securities laws.  It is a war of information, people, and…
  • Apr 18

    Someone Wrote a Book About Me!

    Someone Wrote a Book About Me!
    (Well, maybe not a whole book, but at least a short chapter...) Hey folks!  I know it has been a little while since I've posted anything.  I typically take a break over the winter holidays, but have really let it go for too long.…
Rank this Week: 1005

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Oct 2

    ESMA Comments on MiFID II Implementation and Brexit

    ESMA Comments on MiFID II Implementation and Brexit
      On September 29, 2017, Reuters.com reported on comments by Stephen Maijoor, ESMA Chair, on the implementation of MiFID II and Brexit. Mr. Maijoor believes that while implementation of the new rules under the MiFID II Directive…
  • Oct 2

    ESMA Consults on Draft Guidelines on Non–Significant Benchmarks Under Benchmarks Regulation

    ESMA Consults on Draft Guidelines on Non–Significant Benchmarks Under Benchmarks Regulation
      On September 29, 2017, ESMA published a consultation paper on draft guidelines for non-significant benchmarks under the Regulation on indices used as benchmarks in financial instruments and financial contracts or to measure the…
  • Oct 2

    ECON Draft Reports on Proposed BRRD II Directive and SRM II Regulation

    ECON Draft Reports on Proposed BRRD II Directive and SRM II Regulation
      On September 29, 2017, the European Parliament’s Economic and Monetary Affairs Committee (“ECON“) published two draft reports relating to the European Commission’s proposed revisions to the Bank Recovery and…
Rank this Week: 267

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: 1188

Financial Institutions Legal…

Financial Institutions Legal Snapshot

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

http://www.financialinstitutionslegalsnapshot.com/
  • Oct 18

    Municipality’s right to reclaim undeveloped property prescribes after three year

    Municipality’s right to reclaim undeveloped property prescribes after three year
    The appellant municipality sold vacant immovable property to the respondent company subject to the condition that if buildings of a certain value were not erected on the property within three years from the date of sale, ownership of the…
  • Oct 17

    Thirty year prescription on debt secured by a mortgage when summons issued

    Thirty year prescription on debt secured by a mortgage when summons issued
    A lender relied on a 30 year extinctive prescription period applicable to ‘any debts secured by a mortgage bond’ under section 11(a)(i) of the Prescription Action 1969 but failed because the mortgage bond was not valid at the…
  • Oct 16

    South African Health Products Regulatory Authority Board has been appointed

    South African Health Products Regulatory Authority Board has been appointed
    The Minister of Health has appointed the board members of the newly established South African Health Products Regulatory Authority (SAHPRA). This health agency is the successor to the Medicines Control Council (MCC) which for decades has been…
Rank this Week: 1586

Financial Law Blog

Financial Law Blog

Updates on Banking Law, Investment Management Law, Securities Law, and Commodities/Derivatives Law. By Valentin Agafonov.

http://www.finlawblog.com
Rank this Week: 1977

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Oct 19

    Educational Tool on Virtual Currencies released by CFTC

    Educational Tool on Virtual Currencies released by CFTC
    On October 17, 2017, the U.S. Commodity Futures Trading Commission’s (“CFTC”) LabCFTC released a primer on virtual currencies, available here.  The primer is an “education tool” that provides an overview of…
  • Oct 16

    Travis Nelson Organizes Annual OCC Alumni Association Event in Washington, DC

    Travis Nelson Organizes Annual OCC Alumni Association Event in Washington, DC
    On October 12, 2017, Travis Nelson of the Reed Smith’s Financial Services Regulatory Group, organized the annual Office of the Comptroller of the Currency (OCC) Alumni Association reception and dinner in Washington, DC. Travis is the…
  • Oct 10

    Blunt Talk on Marijuana Banking in New Jersey

    Blunt Talk on Marijuana Banking in New Jersey
    On Wednesday, October 11, 2017, Reed Smith Princeton attorneys Travis Nelson and Kristy Keiser will lead a discussion at the quarterly meeting of the Banking Law Section of the New Jersey State Bar Association. In addition to the…
Rank this Week: 3592

Illinois Business Law Journal

Illinois Business Law Journal

Covers recent developments affecting business law. From the University of Illinois College of Law.

https://publish.illinois.edu/illinoisblj/
Rank this Week: 990

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 17

    HFM US Hedge Fund Performance Awards 2017

    HFM US Hedge Fund Performance Awards 2017
    We are pleased to announce that Pillsbury has been shortlisted in the category of “Best Onshore Law Firm – Client Service” by HFM Week’s US Hedge Fund Performance Awards 2017. In 2016, we were awarded “Best…
  • Sep 15

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser
    The Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a Risk Alert yesterday providing a list of the most frequently identified compliance issues relating to the Advertising Rule (Rule 206(4)-1) under the Investment…
  • Sep 6

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction
    T+2 Settlement becomes mandatory for most broker-dealer transactions on September 5.   While Rule 15c6-1(d) allows, in connection with firm commitment underwritings, the issuer and underwriters to agree to different settlement…
Rank this Week: 3067

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 20

    Stock purchase scheme almost ensnares transfer agent

    Stock purchase scheme almost ensnares transfer agent
    By R. Jason Howard, J.D.The Massachusetts District Court has granted VStock Transfer, LLC’s motion to dismiss after it determined that the plaintiff, B2 Opportunity Fund, LLC, failed to plead scienter in connection with a questionable…
  • Oct 19

    Staff clarifies non-GAAP C&DIs on business combination

    Staff clarifies non-GAAP C&DIs on business combination
    By Mark S. Nelson, J.D.The SEC’s Division of Corporation Finance issued a new Compliance & Disclosure Interpretation explaining the application of rules for non-GAAP financial measures to forecasts used in business combination…
  • Oct 18

    TICs are securities under North Carolina law, NASAA argue

    TICs are securities under North Carolina law, NASAA argue
    By John M. Jascob, J.D., LL.M.NASAA has urged the North Carolina Court of Appeals to uphold a trial court’s ruling that tenancy in common (TIC) interests were securities under North Carolina law. Although disclaiming any interest in the…
Rank this Week: 662

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
  • Sep 21

    Non-Traded REITs Causing Problems for SII Investment

    Non-Traded REITs Causing Problems for SII Investment
    Earlier today, the Massachusetts Securities Division filed an administrative complaint against SII Investments for violating securities laws with respect to its sale of Real Estate Investment Trusts (REITs) and its failure to supervise…
  • 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…
Rank this Week: 4261

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/
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
Rank this Week: 1748

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
Rank this Week: 3609

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 330

Mortgage Crisis & Financial…

Mortgage Crisis & Financial Services Watch

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

http://www.financialserviceswatchblog.com/
  • Jun 2

    You Are the Target: 75 Different Ways Your Company Can Be Hacked

    You Are the Target: 75 Different Ways Your Company Can Be Hacked
    Join us on Thursday, June 15th from 12:00PM to 1:00PM for an in-depth webinar as Philip R. Stein, a partner in Bilzin Sumberg’s Litigation Practice, and Ray Vasquez, a director in Enterprise Risk Management’s…
  • May 23

    New Wave of Lehman Litigation Appears to Be Imminent

    New Wave of Lehman Litigation Appears to Be Imminent
    Thousands of mortgage lenders across the country either recently received, or will soon be receiving, this document from Lehman Brothers Holdings, Inc. (LBHI). It is a notice of a motion to approve a proposed settlement of Residential…
  • May 1

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed
    The U.S. Supreme Court ruled today, in Bank of America Corp. v. City of Miami, Case No. 15-1111 that cities may qualify as “aggrieved persons” under the Fair Housing Act (“FHA”), thus placing them within the…
Rank this Week: 3653

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Oct 16

    Sentence in Modification Fraud

    Sentence in Modification Fraud
    Mortgage Fraud Blog. Ana Maritza Gomez, 45, Hyattsville, Maryland, was sentenced to 30 months in prison followed by 3 years of supervised release for conspiracy to commit mail and wire fraud arising from a scheme to defraud victims…
  • Oct 16

    Former Settlement Agent Convicted in Refinancing Fraud

    Former Settlement Agent Convicted in Refinancing Fraud
    Mortgage Fraud Blog. Mark Andreotti, 46, Wyckoff, New Jersey, a former settlement agent, was convicted at trial on charges related to the refinancing of properties in Bergen and Morris Counties, New Jersey.  Andreotti was found guilty on…
  • Oct 16

    Mortgage Fraud Tactics in Bridge Financing Case

    Mortgage Fraud Tactics in Bridge Financing Case
    Mortgage Fraud Blog. David T. Odom, 53, Chicago, Illinois, was sentenced to 30 months in prison, followed by three years of supervised release for a wire fraud conspiracy arising from a scheme to defraud lenders in order to…
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/
  • Sep 8

    What You Should Do Today In Response To The Equifax Breach

    What You Should Do Today In Response To The Equifax Breach
    You've probably heard that Equifax revealed on Thursday that it was the subject of a data security breach that resulted in the exposure of 143 million Americans--almost half the population.  It is likely the largest data security breach…
  • Jul 27

    Reflections on a Rewarding Year with the NCBA YLD

    Reflections on a Rewarding Year with the NCBA YLD
    I'm no longer a young lawyer.A few days ago, I handed over an enormous gavel, signifying the end of my term as leader of the more than 6,400 members of the Young Lawyers Division of the North Carolina Bar Association. It has been an…
  • Jul 27

    It's Time for a Change

    It's Time for a Change
    Over the past six years, I have really enjoyed sharing thoughts with you on this blog and participating in some of the conversations that have arisen from the posts.Having recently departed private practice to work as in-house counsel, my…
Rank this Week: 3447

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/
  • Aug 21

    New CFPB Online Inquiry Form Offers New Way to Ask Regulatory Question

    New CFPB Online Inquiry Form Offers New Way to Ask Regulatory Question
    The Consumer Financial Protection Bureau (CFPB)’s Office of Regulations has long offered the public the opportunity to ask the agency questions about specific regulatory provisions and receive informal feedback from CFPB attorneys,…
  • Aug 16

    Outside Bank Directors Take Note: Could Regulators’ Expectations Be Changing (Again)?

    Outside Bank Directors Take Note: Could Regulators’ Expectations Be Changing (Again)?
    Last week, the Federal Reserve issued proposed guidance that could dial back some regulatory expectations for directors of financial institutions. The proposed guidance, applicable to Fed-supervised entities like bank holding companies and…
  • Aug 14

    2017 Texas Legislative Recap of New Laws Affecting Financial Institutions Operating in Texa

    2017 Texas Legislative Recap of New Laws Affecting Financial Institutions Operating in Texa
    Every other year, the Texas Legislature convenes for roughly six months in Austin. Given the tight timeframe and biennial nature, sessions of the Texas Legislature tend to be “fast and furious” (and also full of drama). There were…
Rank this Week: 2045

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/
  • Oct 12

    NC Business Court Rules On What Constitutes An "Arbitration"

    NC Business Court Rules On What Constitutes An "Arbitration"
    You've probably never had to decide what it means to agree to arbitrate.  Usually, there is a written provision that references the AAA Rules and includes a consent to AAA's procedures as to the appointment of the arbitrator(s) and the…
  • Sep 6

    Demand Futility Isn't Dead For Derivative Actions Against Non-Profit Corporation

    Demand Futility Isn't Dead For Derivative Actions Against Non-Profit Corporation
    You probably thought that you would never again have to argue that a demand on a corporation's board of directors before filing a derivative action should be excused because it would have been futile.  That's because the North Carolina…
  • Aug 8

    NC Legislature Decides To Legislate Choice Of Law Provisions In "Business Contracts"

    NC Legislature Decides To Legislate Choice Of Law Provisions In "Business Contracts"
    The North Carolina General Assembly has decided to legislate choice of law in commercial transactions.  The new statute, enacted in June, is called the "North Carolina Choice of Law and Forum in Business Contracts Act." It will…
Rank this Week: 4114

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: 1060

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Oct 11

    The Latest Survey of UDAAP Activitie

    The Latest Survey of UDAAP Activitie
    DWT Payments team member Adam Maarec, along with Christopher R. Rahl, a member of Gordon Feinblatt’s Financial Services Practice Group, recently published an updated survey of activities identified by the Dodd-Frank Act as unfair,…
  • Oct 2

    CFPB’s First No-Action Letter: Supporting Innovation AND Supervision for Fair Lending

    CFPB’s First No-Action Letter: Supporting Innovation AND Supervision for Fair Lending
    The Consumer Financial Protection Bureau (the “Bureau”) issued its first no-action letter (“NAL”) to Upstart Network, Inc. (“Upstart”), a marketplace lender that sought to clarify that its automated model…
  • Jul 21

    Regulatory Alert: Debt Collection

    Regulatory Alert: Debt Collection
    Among the announcements in its Spring 2017 rulemaking agenda, which was just released on July 20, the Consumer Financial Protection Bureau (CFPB) announced that later this year it plans to issue a Notice of Proposed Rulemaking (NPRM)…
Rank this Week: 2613

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: 3064

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
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/
  • 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: 3588

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: 1182

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/
  • Oct 20

    FCA review of debt management sector gets underway

    FCA review of debt management sector gets underway
    The FCA has announced that it is undertaking a thematic review of the debt management sector, in line with the commitment made in its 2017/18 Business Plan. The scope of the FCA’s review will be based on a sample of both fee-charging…
  • Oct 20

    FCA outlines lessons learned in year one of its Regulatory Sandbox

    FCA outlines lessons learned in year one of its Regulatory Sandbox
    The FCA has published a report outlining how the regulatory sandbox has met its objectives over the first year of operation. The report also highlights some of the challenges faced by firms in conducting their tests within the sandbox. These…
  • Oct 20

    Commission publishes a report on the SFTR

    Commission publishes a report on the SFTR
    Regulation (EU) 2015/2365 on the transparency of securities financing transactions and of reuse (SFTR) aims to get a better understanding of the effects of shadow banking (non-bank credit intermediation) and to address the risks posed by…
Rank this Week: 1581

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: 3780

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Oct 20

    SEC Charges Investment Adviser with Distributing False Account Statements to Investor

    SEC Charges Investment Adviser with Distributing False Account Statements to Investor
    On October 2, 2017, the Securities and Exchange Commission filed a complaint in the United States District Court for the Central District of California against Tweed Financial Services, Inc. (“TFSI”), an investment advisory firm,…
  • Oct 12

    FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedure

    FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedure
    In September 2017, the Financial Industry Regulatory Authority updated a previously published Notice related to FINRA Rules 12805 and 13805, which “establish procedures that arbitrators must follow before recommending expungement of…
  • Sep 12

    DOL Proposes Additional Extension of Fiduciary Rule Transition Period

    DOL Proposes Additional Extension of Fiduciary Rule Transition Period
    The Department of Labor (DOL) recently published its proposal to extend the transition period of the Fiduciary Rule and delay the second phase of implementation from January 1, 2018 to July 1, 2019. Currently only adherence to the impartial…
Rank this Week: 2662

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,…
  • 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.…
  • 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: 1219

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/
  • Oct 19

    FINRA Considering Rule Changes for Non-Attorneys In Arbitration

    FINRA Considering Rule Changes for Non-Attorneys In Arbitration
    FINRA Requests Comment on the Efficacy of AllowingCompensated Non-Attorneys to Represent Parties inArbitrationFINRA Rules do not prohibit non-attorneys from representing parties in arbitrations, although some states do have such a…
  • Oct 18

    SEC Names Brett Redfearn as Director of the Division of Trading and Market

    SEC Names Brett Redfearn as Director of the Division of Trading and Market
    The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading and Markets.The SEC's Division of Trading and Markets establishes and maintains standards for fair,…
  • Oct 18

    SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin

    SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
    The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal at the McCombs School of Business at The University of Texas at Austin to host the SEC’s…
Rank this Week: 642

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 1158

Southeast VC

Southeast VC

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

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

    Public SaaS Valuations Are Diving. How Should You React?

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

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
Rank this Week: 1177