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13 Dec 2022, 9:47 am
The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered in Denmark, for misleading investors about its anti-money laundering (AML) compliance program in its…Read the Full Press ReleaseHave a securities law question? [read post]
27 Oct 2010, 3:00 am
See McIntyre, How to End the Charade of Information Exchange, Tax Notes (Nov. 9, 2009) (noting that banking secrecy is "not over yet"). [read post]
15 Sep 2017, 3:20 am
SEC] Between FATCA and the Patriot Act, American extraterritorial banking rules keep wreaking havoc on other countries [Ernesto Londono, New York Times on Uruguay legal marijuana businesses] “Congress Can Rescind the CFPB’s Gift to Trial Lawyers” Ted Frank, WSJ] “Absent Reform, Little Relief in Sight from Chronic “Merger Tax” Class-Action Litigation” [Anthony Rickey, WLF] Tags: arbitration, banks, CFPB, extraterritoriality,… [read post]
4 Jun 2012, 12:19 pm
The bank said late Tuesday that it "followed the same procedures for the Facebook offering that it follows for all IPOs," referring to initial public offerings of stock. [read post]
6 Jan 2008, 8:03 am
He welcomes the efforts of the Basel Committee on Banking Supervision and the Committee of European Banking Supervisors in considering joint measures to contain the potential effects of the turmoil. [read post]
12 Jun 2012, 9:22 am
Nat’l Australian Bank Ltd., 130 S.Ct. 2869 (2010). [read post]
3 Aug 2009, 1:23 pm
On August 3, 2009, the Securities and Exchange Commission ("SEC") announced that it was entering into a Consent Judgement with Bank of America Corporation ("BoA" or the "Company") in connection with the Company's issuance of a joint proxy statement filed with the SEC as to BoA's acquisition on Merrill Lynch & Co., Inc. [read post]
14 Sep 2009, 8:22 am
[JURIST] A judge in the US District Court for the Southern District of New York [official website] on Monday rejected [order, PDF] a $33 million settlement agreement [press release] between the Securities and Exchange Commission (SEC) [official website] and Bank of America (BOA) [corporate website]. [read post]
1 Sep 2010, 10:31 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] announced Wednesday that a judge in the US District Court for the Southern District of New York [official website] has approved a fund set up by Bank of America (BOA) [corporate website] in accordance with the settlement agreement [JURIST report] reached earlier this year. [read post]
24 Mar 2014, 9:05 pm
Bainbridge] “The Federal Reserve at 100″ [Cato Unbound; Gerald O'Driscoll, Lawrence White, Scott Sumner, Jerry Jordan] Tweet Tags: banks, Dodd-Frank, Securities and Exchange Commission, securities litigationBanking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
2 May 2012, 8:12 am
The firm used the client money to back futures positions on exchanges. [read post]
27 May 2014, 5:54 pm
Available at SSRN: http://ssrn.com/abstract=2442092 “In 2013, a new system for mandatory public disclosure came into effect, the first since the creation of the Securities and Exchange Commission (SEC) in 1934. [read post]
30 Mar 2018, 3:10 am
Securities and Exchange Commission] “Settlement of Lawyer-Driven ‘Merger Tax’ Litigation Stumbles in New York” [Greg Herbers, WLF] “Financial Regulation: The Apotheosis of the Administrative State? [read post]
25 Aug 2022, 8:18 am
The court also noted that the MTA specifically defines some specialized banking and financial terms, but the term “money” was left undefined. [read post]
21 Feb 2012, 3:25 am
“Major banks could become embroiled in another mis-selling scandal after shares in CPP, the embattled credit card insurer, were suspended on the London Stock Exchange after a Financial Services Authority investigation.” Full story The Guardian, 20th February 2012 Source: www.guardian.co.uk [read post]
13 Sep 2008, 7:30 pm
Borden (Associate Professor, Washburn University School of Law) and Alex Hamrick (Wachovia Bank) have written an article entitled Like-Kind Exchanges of Personal-Use Residences, 119 Tax Notes 1253 (2008). [read post]
21 Jul 2014, 6:10 am
Legal and economic issues involving mandatory public disclosure have centered on the appropriateness of either Securities and Exchange Commission (SEC) rules or the D.C. [read post]
29 Sep 2022, 2:03 pm
The Securities and Exchange Commission charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of a large amount of securities due to a failure to implement any internal control to track such transactions in real time. [read post]
22 Aug 2010, 6:15 pm
I am happy to exchange teaching tips! [read post]
18 Mar 2010, 6:08 am
Department of Justice and Wachovia Bank have entered into a $160 million settlement and deferred prosecution agreement to settle the DOJ's allegations that Wachovia enabled drug traffickers to launder drug money through transfers of money from Mexican currency exchange houses to the bank. [read post]
