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Holley Nethercote commercial & financial services lawyers
Being able to sever ties with an adviser who breaches your AFS licence obligations is very important for licensees.
Kott Gunning
This article summarises important aspects of the AFCA Rules, which should be read with the AFCA Operational Guidelines.
Stikeman Elliott LLP
La Cour d'appel de la Colombie-Britannique a confirmé un jugement qui a refusé d'obliger l'acheteur à « prendre tous les moyens nécessaires » pour respecter une condition de financement stipulée dans une convention d'acquisition immobilière.
Dhaval Vussonji & Associates
The recently introduced Insolvency and Bankruptcy Code, 2016 has brought in its wake several judgments and orders which are changing the landscape of the financial markets in an unprecedented manner.
Cadwalader, Wickersham & Taft LLP
The CFTC final rule amending the definition of "swap dealer" was published in the Federal Register. The rule is effective as of November 13, 2018.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for failure to identify and apply mutual fund sales charge waivers to eligible retirement accounts and charitable organizations.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $215,000 to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities, as requ
Stroock & Stroock & Lavan LLP
On October 31, 2018, the Department of the Treasury and the Internal Revenue Service ("IRS")
Mayer Brown
With apologies to the Temptations, the title to their classic song seems to apply to the current state of leveraged lending and other supervisory guidance issued by various regulatory agencies...
Troutman Sanders LLP
On October 31, the Supreme Court heard oral argument in Frank v. Gaos (No. 17-961), a case challenging the use and limits of cy pres deals in class action lawsuits.
Carlton Fields
Imputation of Implied Actual Notice: the fact that an unrelated purchaser of property was aware that seller was being sued on an unsecured indebtedness did not create a legal duty...
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $50,000 to settle FINRA charges that it failed to "establish, document, and maintain" a system of adequate risk management controls and supervisory...
Cadwalader, Wickersham & Taft LLP
A German-based bank agreed to pay $12 million to settle CFTC charges for failing to sufficiently supervise swap dealer ("SD") activities.
Kramer Levin Naftalis & Frankel LLP
Paris counsel Pierre Storrer's article "Nouveaux services de paiement : le gestionnaire de compte doit-il vérifier le consentement de son titulaire lorsqu'il y donne accès ?" was published in Banque ...
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
Cadwalader, Wickersham & Taft LLP
This case illustrates that the misconduct involved in spoofing may also provide the basis for a charge of price manipulation.
Cadwalader, Wickersham & Taft LLP
The FRB's report is a worthy read, offering transparency on several fronts.
Cadwalader, Wickersham & Taft LLP
Mr. Quarles stated that elements of the proposal to integrate stress testing with the stress capital buffer will be amended after receiving public comment.
Duane Morris LLP
Die State Bank of Vietnam (Ngan Hang Nha Nuoc Vietnam, SBV) ist die Zentralbank Vietnams. Sie ist eine auf Ministeriumsebene befindliche Körperschaft, die der Regierung unterstellt ist. Der...
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Blaney McMurtry LLP
In Atos IT Solutions v Sapient Canada Inc., the Court confirmed that the "minimum performance principle" places a common law limit on expectation damages for breach of contract.
Krishnomics Legal
The Negotiable Instruments Act, 1881 ("the Act") was enacted to characterize and define the law relating to authoritative records like Promissory Notes, Bills of Exchange and Cheques.
Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Norton Rose Fulbright Australia
Businesses should regularly review their insurance policies and consider the scope of cover and existing policy limits.
ClarkeKann Lawyers
PBAs are trust accounts, intended to protect down the line subcontractors from the insolvency of up the line contractors.
Mayer Brown
California enacts a first-of-its-kind legislation imposing disclosure requirements on commercial purpose loans similar ...
Troutman Sanders LLP
Non-bank lenders to small businesses need to be on alert after Governor Brown signed California Senate Bill 1235 into law on September 30, 2018.
Deloitte Cyprus
欧洲基金与资产管理协会(EFAMA)表示,欧 洲投资基金行业规模于2017年底达到空前水 平,管理资产额首次突破15万亿欧元。
Göksu | Aydın Attorneys at law
13 Eylül 2018 tarihli Cumhurbaşkanı Kararı ile Bakanlar Kurulu tarafından 1567 sayılı Kanun uyarınca düzenlenmiş ve 11 Ağustos 1989 tarihli ve 20249 sayılı Resmî Gazete'de yayınlanmış olan Türk Parası Kıymetini Koruma Hakkında ...
HHG Legal Group
Circumstances surrounding the entry into pre-nuptial agreements are considered when assessing their validity.
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