The Community Reinvestment Act (CRA): Recap and What to Expect in 2014
Polsinelli Podcast - The State of Bank Deals in 2014
Thomson Reuters Session 2: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?
Thomson Reuters Session 1: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?
Not Dead Yet? How BigLaw's Best Firms Are Finding Growth
The FCPA Compliance and Ethics Report-Episode 66, Visit with Virna De Palma from TRACE
Did the IRS Just Help or Hurt the Bitcoin Economy?
Legal Tech Startups: Separating Hype from Opportunity
Polsinelli Podcast - Claims Trading: Opportunity or Hazard?
FCPA Compliance and Ethics Report-Episode 43, Interview with Neil Swidey, author of Trapped Under the Sea
FCPA Compliance and Ethics Report-Episode 42, Interview with Patrick Taylor of Oversight Systems on Transaction Monitoring
Zimmermann: Dewey Charges Send 'Warning' To Struggling Law Firms
New Manager Forum Panel III – Post-launch Matters
New Manager Forum Panel II – Launch Issues
New Manager Forum Panel I - Critical Pre-launch Considerations
Highlights from the Oral Argument in Halliburton v. Erica P. John Fund
Episode 41-Interview with John Champion, leadership lessons from Captain Kirk
FCPA Compliance and Ethics Report-Episode 40, Interview with Adam Turteltaub
FCPA Compliance and Ethics Report-Episode 3-Interview with Marie Patterson, Vice President of Marketing for Hiperos
On April 10, 2014, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) issued one revised and two new compliance and disclosure interpretations (“C&DIs”) regarding crowdfunding and Rule...more
Effective June 1, 2014, the Public Trust Act included in this year’s State Budget legislation redefines “Independent Expenditures” (IEs) in state and local elections. The new definition includes expenditures conveyed to 500...more
The staff of the SEC’s Division of Investment Management (the “Staff”) issued IM Guidance Update No. 2014-4 discussing how a registered adviser or its investment advisory representatives (“IARs”) may use public commentary...more
On March 25, the Fed issued a report on the use of mobile phones to obtain financial services. Last year, 33 percent of all mobile phone users and 51 percent of smartphone users had used mobile banking. The most common mobile...more
The U.S. Court of Appeals for the Eleventh Circuit has ruled that a debtor may not provide the “prior express consent” required by the Telephone Consumer Protection Act (TCPA) for autodialed collection calls to be made...more
Acknowledging the growing demand by consumers for information through social media, the Division of Investment Management set some ground rules on how investment advisers can use social media and publish advertisements that...more
Acknowledging the growing demand by consumers for information through social media, the Division of Investment Management set some ground rules on how investment advisers can use social media and publish advertisements...more
At the end of last year, the members of the Federal Financial Institutions Examination Council (FFIEC), published final supervisory guidance titled “Social Media: Consumer Compliance Risk Management Guidance.” Financial...more
On March 20, 2014, the Canadian Securities Administrators (CSA) published a notice (the CSA Notice) announcing the release for comment of two proposed equity crowdfunding prospectus exemptions. Some provincial securities...more
Another chapter to the LCN saga in Italy.
As you recall from our previous posts and videos, the LCN, the logical channel numbering for Digital Terrestrial Broadcasting, remains a very controversial topic in Italy. This...more
Bill Carleton has a good post regarding the recent comments from Keith Higgins, the Director of the Division of Corporation Finance, who spoke at the 2014 Angel Capital Association Summit. Higgins discussed the SEC’s...more
The Washington State legislature has passed a crowdfunding bill, HB 2023. The Governor has yet to sign the bill, so it is not yet law. But hopefully it will be law soon.
If you are wondering what the new law will...more
Last week, New York Attorney General Eric Schneiderman announced settlements with six auto dealers imposing fines ranging from $7,500 to $15,000 for allegedly engaging in deceptive and misleading advertising practices. The...more
Fed Issues a Report on Mobile Financial Services -
On March 25, the Fed issued a report on the use of mobile phones to obtain financial services. Last year, 33 percent of all mobile phone users and 51 percent of...more
In this issue:
- FTC Seeks Comment on Fair Packaging and Labeling Act Rules
- Ink Still Drying on Supreme Court's Lexmark Decision
- FTC says Weak Disclosures? Special Effects, Too? Nissan's on the Dark...more
At the beginning of this year – to the (pleasant) surprise of market participants – an agreement came into force to implement a simplification in the marketing of Swiss securities funds (Effektenfonds) in Germany, and German...more
As previously reported in Dechert's Fourth Quarter 2013 Financial Services Quarterly Report and DechertOnPoint, Luxembourg Law Transposing the AIFMD Passed by Luxembourg Parliament, Luxembourg’s transposition of the AIFMD...more
Governor Jeremy C. Stein spoke at the Crowdfunding for Community Development Finance Conference today. Fed Governor Stein’s remarks emphasized that perhaps all too often crowdfunding is associated only or primarily with tech...more
Andy Campbell presented “Social Media Compliance Issues for Community Banks,” a look at the benefits and risks for banks cultivating a social media presence. Andy’s presentation included discussion of:
Following a lengthy consultation period and broad review, the Ontario Securities Commission (“OSC”) has unveiled a series of proposed prospectus exemptions aimed at growing small and medium-sized enterprises (“SMEs”). Among...more
We recently reported that the CFPB had issued its first Annual Freedom of Information Act (FOIA) Report which provided statistical information for FOIA requests the CFPB received in FY 2013. It turns out that one of those...more
In Buonomo v. Optimum Outcomes, Inc., No. 13-cv-5274 (N.D. Ill. March 17, 2014), the United States District Court for the Northern District of Illinois granted a partial motion to strike class action allegations alleging...more
Recently the Ninth Circuit Court of Appeals issued its opinion in the appeal of Stout v. FreeScore, LLC concerning the scope of the Credit Repair Organizations Act (“CROA”). The result is not good for advertisers of credit...more
This document describes the caps and foreign investment regulation for diverse activities and industries under Mexican Law, as updated with the recent reforms of telecom, energy and finance sectors.
Please see full...more
In this episode of the FCPA Compliance and Ethics Report, I visit with Marie Patterson, VP of Marketing for Hiperos. We discuss the management of third parties by a commercial entity throughout the life cycle of the...more
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