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Franchise Law › Finance & Banking

Read Franchise Law updates, news, and legal commentary from leading lawyers and law firms:

News & Analysis as of May 21, 2013

Duane Morris LLP

Recent Developments in New York's Taxation of Unauthorized Life Insurers

by Stanley Kaminski, Hugh T. McCormick | Duane Morris LLP on 5/3/2013

Prior to 2012, New York afforded surprisingly favorable tax treatment to life insurance companies that are not licensed to conduct business in New York ("unauthorized life insurers"), but that owned real estate investments in...more

Allen Matkins Leck Gamble Mallory & Natsis...

California Bill Would Expand Liability For Securities Fraud, Impose New Fees, Expand Commissioner’s Powers

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 4/5/2013

In late February, Senator Jerry Hill introduced a bill, SB 538, to substantially amend the Franchise Investment Law. A few days later, the bill was read for the first time and set for hearing by the Senate Banking and...more

Sutherland Asbill & Brennan LLP

Legal Alert: A Royal Opportunity: Amendments to New York’s Royalty Expense Add-back Statute Leave the Income Exclusion Intact for...

by Sutherland Asbill & Brennan LLP on 3/29/2013

On March 28, 2013, the New York State Legislature passed budget legislation (S.2609D/A.3009D) that replaces the existing New York State and City related - party royalty add - back requirements with provisions based on the...more

Reed Smith

Proposed Changes to California Franchise Law Would Limit Franchisors’ Termination and Nonrenewal Rights

by Peter Ellis, Diane Green-Kelly, Leonard Hudson | Reed Smith on 3/26/2013

The California Small Business Investment Protection Act, Assembly Bill 1141, was recently proposed and makes several changes to California’s current franchise laws, the Franchise Relations Act and the Franchise Investment...more

Kronick, Moskovitz, Tiedemann & Girard

Attorney General Prevails In Lawsuit Against Income Tax Preparation Company

by June D. Coleman, Danielle Teeters | Kronick, Moskovitz, Tiedemann & Girard on 2/22/2013

The Attorney General brought a lawsuit against an income tax preparation business alleging violations of state and federal lending, consumer protection, unfair competition, and false advertising laws. The court of appeal...more

Osler, Hoskin & Harcourt LLP

Class Actions in Canada 2012 - The Year in Review and The Year Ahead

by Deborah Glendinning, Christopher Naudie, Éric Préfontaine | Osler, Hoskin & Harcourt LLP on 1/30/2013

In This Issue: Introduction; Class Action Practice Developments; Common Issues Trials; Class Actions in Quebec; Securities Class Actions; Competition Class Actions; Product Liability Class Actions; Franchise Class...more

Thomas Fox

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

by Thomas Fox on 1/3/2013

The Lilly FCPA enforcement action, as laid out in the SEC Complaint, provides the compliance practitioner with solid information which can be used in a variety of ways to strengthen an anti-corruption/anti-bribery compliance...more

Bettina Eckerle

Ouch! State Actions Against Advisers Doubled in 2011

by Bettina Eckerle on 12/22/2012

The number of enforcement actions involving investment adviser firms nearly doubled to 399 in 2011, according to a recent report by the North American Securities Administrators Association (NASAA). In total, actions against...more

Bettina Eckerle

Top Tips For Dealing With Senior Investors

by Bettina Eckerle on 12/22/2012

Federal and state regulators have made protecting senior investors one of their top priorities. In fact, the North American Securities Administrators Association recently reported that financial abuse of seniors was...more

Bettina Eckerle

Could Your Stellar Returns Trigger an SEC “Aberrational Performance Inquiry”?

by Bettina Eckerle on 12/22/2012

The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011. Under the initiative, the SEC uses proprietary risk analytics to evaluate hedge fund returns. Performance that appears inconsistent with...more

Thomas Fox

The CCO: Co-Equal to the General Counsel in the Eyes of the DOJ?

by Thomas Fox on 12/20/2012

One of the items that the Department of Justice (DOJ) has increasingly focused on in its enforcement actions is the role of the Chief Compliance Officer (CCO) and whether this position has adequate staffing and resources to...more

Bradley Arant Boult Cummings LLP

Alabama Tax Developments: 2012 Year in Review

by Bradley Arant Boult Cummings LLP on 12/19/2012

Our final Alabama SALT Bulletin of 2012 summarizes the major legislative, judicial, and administrative developments affecting Alabama taxpayers with respect to income, transaction, and property taxes. The spring 2012...more

Thomas Fox

Race to the Bottom: Wal-Mart’s FCPA Investigation and the Houston Astros

by Thomas Fox on 12/19/2012

So who do you think had the better day – the Houston Astros Monday or Wal-Mart Tuesday? Yesterday, the Astros announced the signing of Carlos Pena to be their Designated Hitter (DH) for the 2013 season. Pena’s 2012 average –...more

Thomas Fox

Banks Behaving Badly or Brother Can You Spare A Billion (or Two)?

by Thomas Fox on 12/18/2012

Remember when a billion dollars was real money? Over the past couple of weeks there have been some mammoth fines paid by financial institutions for conduct, which would appear to fall under the category of “Banks Behaving...more

Thomas Fox

Days of Future Passed: The Moody Blues and the End of Facilitation Payments?

by Thomas Fox on 12/17/2012

This past weekend I caught the Moody Blues’ tour celebrating the 45th anniversary of their seminal classic album, “Days of Future Passed”. This was the second album released by the band and while I had always thought of it as...more

Thomas Fox

A Cornucopia of Great FCPA Articles for Your Friday Consideration

by Thomas Fox on 12/14/2012

It has been a great couple of weeks for article regarding the Foreign Corrupt Practices Act (FCPA). While I have resisted having a Friday Round Up of all things FCPA compliance related because both the FCPA Professor, on his...more

Thomas Fox

The Ethical Business Compact-A New Compliance Best Practice?

by Thomas Fox on 12/13/2012

Found on page 54 of the recently released Department of Justice (DOJ) Guidance on the Foreign Corrupt Practices Act (FCPA) is the following language: “Chapter 8 of the Sentencing Guidelines, which governs the sentencing of...more

Thomas Fox

The Ethical Business Compact-A New Compliance Best Practice?

by Thomas Fox on 12/13/2012

Found on page 54 of the recently released Department of Justice (DOJ) Guidance on the Foreign Corrupt Practices Act (FCPA) is the following language: “Chapter 8 of the Sentencing Guidelines, which governs the sentencing of...more

Thomas Fox

Doing More with Less in Your Compliance Program (Not the 2013 Astros)

by Thomas Fox on 12/12/2012

t was reported today that the Houston Astros pitchers and catchers report for Spring Training on February 11, 2013, with position players reporting on February 15. I thought about how much I used to look forward to Spring...more

Thomas Fox

How to Create a Post-Acquisition FCPA Compliance Program Integration Plan

by Thomas Fox on 12/11/2012

Your company has just made its largest acquisition ever and your Chief Executive Officer (CEO) says that he wants you to have a compliance post-acquisition integration plan on his desk in one week. Where do you begin? Of...more

Thomas Fox

The FCPA Guidance and Declinations

by Thomas Fox on 12/9/2012

I have previously written about my belief that the US Department of Justice (DOJ) should go further in releasing information about Declinations to Prosecute Foreign Corrupt Practices Act (FCPA) cases self-reported to both it...more

Bilzin Sumberg Baena Price & Axelrod LLP

Check Lender Reservations on Hotel Deals: Asset-specific issues prompt a closer look from lenders at hotel collateral

by Lorelei A. Schumacher | Bilzin Sumberg Baena Price & Axelrod LLP on 12/8/2012

Funding is returning slowly for hotel properties, as many lenders have learned the hard way that hotels can be tricky collateral. Commercial mortgage brokers can expect these lenders to be more cautious when reviewing hotel...more

Thomas Fox

How the Noir Novel Informs Your Compliance Program

by Thomas Fox on 12/7/2012

In the Work Matters column in the December 3 Issue of the Texas Lawyer, in an article entitled, “Ten Phrases Lawyers Hear That Portend Disaster” author Michael Maslanka explored his love of noir fiction, which I...more

Thomas Fox

Can a Party to Bribery be a Victim under the Crime Victim Rights Act?

by Thomas Fox on 12/6/2012

It is the matter that my This Week In FCPA colleague Howard Sklar calls “This little lawsuit that could.” As reported by the FCPA Professor last week, the Instituto Costarricense De Electricidad (ICE) filed a...more

Robert Freedman - Partner at Tharpe & Howell,...

Economic Forecast For Slow Growth

by Robert Freedman - Partner at Tharpe & Howell,... on 12/5/2012

Two major conclusions are found in a recent survey of economists by the Wall Street Journal: 1. Slow growth over the coming year 2. A recession is unlikely As reported by the Los Angeles Times, the survey of 48...more

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