As summer begins to all but fade into the background, it is a good time to revisit legal compliance with state and federal requirements in the employment context. Massachusetts recently joined the growing wave of states to...more
FCA publishes final guidance on regular premium PPI complaints and new consultation on mailing rules....more
Secured creditors are not left out in the cold - In the recent case of Kevin Taylor v Van Dutch Marine Holding Ltd and others, the High Court decided that the exercise of existing rights by a secured creditor should not be...more
Barclays took a double hit from regulators yesterday. First the Financial Conduct Authority in the UK fined Barclays Bank Plc, about £38 million for putting £16.5 billion of client assets at risk. Then the SEC imposed a $15...more
In an area of broker-dealer practices with relatively little guidance—the appropriate level of commissions or mark ups on securities trades—FINRA recently brought another in a series of cases that provides insight into the...more