Financial Services Alerts

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Oct.08.2020	OFAC and FinCEN Release Advisories on Risks of Ransomware Payments
Oct.05.2020	A Giant Leap for FinTech in the EU
Sep.28.2020	FinCEN Issues Final Rule Establishing Anti-Money Laundering Requirements for State-Regulated Banks
Sep.24.2020	FinCEN Issues ANPRM Seeking Comment on Requirement for an "Effective and Reasonably Designed" AML Program
Aug.27.2020	SEC Finalizes Amendments to the Definitions of Accredited Investor and Qualified Institutional Buyer
Aug.25.2020	DOJ Antitrust Division Announces Organizational Changes Focused On Increasing Prosecution of Consent Decree Violations and Civil Conduct Offenses
Aug.04.2020	Funds Today, Investigation Tomorrow: SBA OIG Warns of Serious Concerns of Rampant Fraud with COVID-19 Relief Funds and Calls for Immediate Action
Jul.10.2020	FinCEN Provides Additional Guidance for Financial Institutions on Hemp-Related Businesses
Jul.09.2020	FCPA Guidance Update: DOJ and SEC Release Second Edition of Resource Guide to the U.S. Foreign Corrupt Practices Act
Jul.08.2020	NYDFS and OCC Announce Major Overhauls Important for Virtual Currency Businesses
May.17.2016	Supreme Court Allows Securities-Related Claims to Proceed in State Court
Sep.24.2015	SEC Announces Cybersecurity Warning Shot
Sep.18.2015	SEC Announces Guidance on Cybersecurity Exam Focus Areas
Jun.23.2015	VIDEO: Alternative Fees in Law
May.21.2015	Overview of Rules for Qualified Foreign Financial Institutions’ Investment in Listed Shares in Saudi Arabia
May.06.2015	Saudi Arabia to Open Stock Market to Foreign Financial Institutions – QFIs Rules Issued
Apr.17.2015	Saudi Arabia to Open Stock Market to Foreign Financial Institutions – Timeline Announced
Jan.16.2015	Treasury and Commerce Implement New U.S. Cuba Policy
Dec.17.2014	Largest Relaxation in U.S. Cuba Sanctions in 50 Years: What You Need To Know
Mar.03.2014	The Supreme Court Defines the Scope and Meaning of 'SLUSA'
Apr.10.2013	Delaware Chancery Court Rejects Claim That Article 9 Sale Was Not Conducted in a Commercially Reasonable Manner
Apr.03.2013	Regulatory Reform of the UK Financial Services Industry
Mar.25.2013	UCC Termination Statements Require Authorization To Be Effective
Mar.25.2013	SEC Issues Much Needed Guidance on Rule 15a-6 Regarding Foreign Broker-Dealers
Mar.12.2013	SEC Sends Message to Stop Fundraising by Unregistered "Finders"; comes Down Hard on Fund Sponsor and Managing Partner
Mar.08.2013	SEC Issues Risk Alert Regarding Adviser Examinations
Feb.08.2013	DOL Provides ERISA Fiduciary Relief to FCMs and Clearing Organizations for Certain Swap Transactions with ERISA Plans
Dec.11.2012	Absolute Assignments of Rents Are Not So "Absolute"
Nov.13.2012	MoneyGram International Inc. Settlement of Criminal Charges May Have Far-Reaching Compliance Implications for Anti-Money Laundering Violations
Nov.08.2012	Court Invokes FRE 502(d) to Permit Intentional Production of Privileged Materials Without Waiver
Sep.12.2012	Call Premiums in Bankruptcy — Maturities' Finale or a Case of Arrested Development?
Aug.15.2012	Criminal Borrower? An Innocent Secured Creditor Need Not Worry About Losing Its Collateral to Government Forfeiture
Jul.17.2012	Ninth Circuit Limits the Use of Arbitration Against Debtors in Bankruptcy Cases
Jul.13.2012	Sunbeam: Seventh Circuit Says That Rejection in Bankruptcy Does Not Vaporize a Trademark Licensee's Rights
Jun.08.2012	Credit Bid Rights of Secured Creditors Protected by U.S. Supreme Court
Apr.25.2012	Caution: Bankruptcy-Remote Entities Are Not Necessarily Bankruptcy Proof
Apr.04.2012	Proposed Revisions to Interagency Leveraged Lending Guidance
Mar.14.2012	CFTC Issues Final Rules Regarding Exemptions, Registration and Compliance Obligations for CPOs and CTAs of Public and Private Funds
Mar.08.2012	Potential for Change in Anti-Money Laundering Laws & Regulations: New FATF Recommendations, FinCEN Calls for Comments on Customer Due Diligence Procedures
Feb.03.2012	Second Circuit Weighs in Again on Class Action Waivers in Arbitration Agreements
Dec.27.2011	Private Plaintiffs May Assert Common Law Claims In Securities-Related Litigation Under New York Law
Sep.28.2011	Under New York Law, A Borrower In Distress Is Not Necessarily Under Economic Duress
Jun.28.2011	New SEC Investment Adviser Regulations: What Do You Need To Know?
Jun.15.2011	Supreme Court Limits the Meaning of "Making" a Statement Under Rule 10b-5 of the Securities Exchange Act
May.24.2011	SEC Proposes Changes to the Qualified Client Definition
May.18.2011	Certificateholder Does Not Have "Party In Interest" Standing To Be Heard On Innkeepers' Bidding Procedures Motion
May.16.2011	Second Circuit Declines to Impose Securities Act Liability Against Rating Agencies
Apr.11.2011	Judge Decides Not to Pick-A-Fight with Pick-A-Payment
Feb.14.2011	UK Financial Services Authority decision on disclosure of future contingent consideration by listed acquirors
Nov.30.2010	New Expert Discovery Disclosure Rules Take Effect Dec. 1, 2010
Nov.09.2010	CFTC and SEC Propose New Anti-Manipulation Rules for Swaps and Security-Based Swaps
Oct.27.2010	In Pari Delicto Continues to Curtail Financial Fraud Suits Against Professional Service Firms in New York
Sep.01.2010	Third Circuit Holds Bankruptcy Code Overrides Debtor's Contractual Right to Unilaterally Terminate Retiree Health and Benefit Plans
Aug.30.2010	Worldwide Application of Automatic Stay in Chapter 15 Is Not Necessarily Automatic
Jun.07.2010	FINRA Proposes Registration of Operations Personnel
May.11.2010	Third Circuit Affirms Debtor's Right To Sell Assets Under Plan Without Providing Secured Creditors The Right To Credit Bid
Jan.04.2010	New York Appellate Court Upholds Noteholder's Right to Declare a Default Based Upon Fall in Ratings of Financial Guaranty Insurance Policy
Nov.17.2009	New York Bankruptcy Court Expunges Mortgage After Lender is Unable to Produce Assignment
Sep.29.2009	Ratings Agencies May be Held Liable for Fraud for Misleading Ratings
Sep.22.2009	Victory For The Alternative Energy Industry
Sep.21.2009	Court gives New Twist to Enforcement of Springing Guaranty
Sep.16.2009	IRS Guidance on Modifications to Commercial Mortgage Loans
Jun.29.2009	The Consumer Financial Protection Agency
Jun.22.2009	New York Courts Compel Third-Party Garnishee to Bring Debtor’s Out-of-State Assets to New York to Satisfy Judgment Debt
May.27.2009	Secured Lenders Beware – Overreaching and Predatory Lending Tactics Can Cause Your Claim To Be Equitably Subordinated In Bankruptcy
Mar.03.2009	Federal Court Allows Investor’s Law Suit To Proceed Against Hedge Fund For Misrepresentations Concerning Redemption Rights
Feb.17.2009	Proposed Hedge Fund Legislation
Feb.09.2009	UPDATE: Hedge Fund Transparency Act of 2009
Feb.02.2009	Hedge Fund Transparency Act of 2009
Dec.10.2008	Don’t Wait for the Federal Rescue Program or Bailout---Auto Suppliers and Servicers Should Take Steps Now to Shore Up Credit Risks and Bankruptcy Exposure
Nov.24.2008	Managing Your Investment Losses in a Tax Efficient Way
Oct.30.2008	Who Will Bailout the Bailoutters?: An Overview of the Unique Legal Risks Facing Treasury's New Asset Managers and their Subcontractors
Oct.13.2008	Hedge Fund Deferred Compensation Targeted in Bailout Bill
Oct.07.2008	Notice 2008-91: The Internal Revenue Service Moves to Facilitate Liquidity
Oct.06.2008	Tax Notice Drives Wachovia Takeover Turmoil
Aug.11.2008	Lenders and Servicers Beware: Court Imposes Duty Upon Lenders and Servicers To Accurately Disclose Status With Respect To Loan
Aug.05.2008	Oil Speculation Tax Proposal
Jul.30.2008	Highlights Of Housing Bailout Bill
Jun.17.2008	Supreme Court Decision Ends Practice of Applying Section 1146(a)'s Exemption for Stamp and Transfer Taxes to Pre-Confirmation Asset Sales
Jun.11.2008	Company in Financial Trouble? Officers Beware
Mar.03.2008	IRS Designates Distressed Asset Trusts as 'Listed Transactions'
Jan.22.2008	Update on Unavailability of U.S. Bankruptcy Relief for Some Offshore Hedge Funds
Dec.20.2007	Entitlement to Attorneys’ Fees in Bankruptcy by Unsecured Creditors Remains Uncertain
Nov.16.2007	Ohio Federal Court Fires Warning Shots At Mortgage Pool Investors Who Rush To Foreclose Without Adequate Pre-Foreclosure Legal Due Diligence
Oct.11.2007	Trouble Averted: Seventh Circuit Court Upholds Yield Maintenance Provision
Sep.11.2007	U.S. Bankruptcy Relief Blocked For Some Offshore Hedge Funds
Aug.15.2007	Trouble Ahead: Seventh Circuit Court Reviewing Yield Maintenance Provisions
Dec.02.2005	Court Tells Agency To Address Illicit Advantage In Recompetition

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