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HTMLTreasury Releases Final Debt/Equity Regulations
Andrew M. Eisenberg, Joseph A. (Joe) Goldman, Edward T. (Ed) Kennedy, Scott M. Levine; Jones Day;
Legal Alert/Article
October 26, 2016, previously published on October 2016
On October 13, 2016, the U.S. Treasury Department released final debt/equity regulations under section 385 of the Internal Revenue Code aimed primarily at preventing earnings stripping by U.S. corporations. These final regulations generally follow regulations first proposed on April 4, 2016, but...


HTMLFINRA, SEC Renew Focus on Senior Investors in Immediate Aftermath of FINRA Submission of Proposed Rulemaking to SEC
Bruce M. Bettigole, Clifford E. Kirsch, Brian L. Rubin, Sarah Razaq Sallis, Holly H. Smith; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
October 25, 2016, previously published on October 25, 2016
On October 22-23, members of the securities industry, academia, regulators, and public policy experts gathered in Washington, D.C., at the joint Financial Industry Regulatory Authority (FINRA) and Securities Industry and Financial Markets Association (SIFMA) Senior Investor Protection Conference....


HTMLComptroller of the Currency Issues Guidance, Best Practices, Relating to BSA/AML Compliance
George A. LeMaistre; Jones Walker LLP;
Legal Alert/Article
October 19, 2016, previously published on October 13, 2016
The Office of the Comptroller of the Currency (OCC) last week issued guidance relating to compliance with the Bank Secrecy Act, and with requirements for the adoption and implementation of effective anti-money laundering programs, for depository institutions supervised by the OCC that hold...


HTMLU.S. Government Designates an International Payments Processing Network as Specially Designated Nationals, Continuing its Aggressive Use of Targeted Sanctions Against Non-U.S. Financial Firms that Allegedly Facilitate Unlawful Business Activities
Carl A. Fornaris, Sandra K. Jorgensen, Renee A. Latour; Greenberg Traurig, LLP;
Legal Alert/Article
October 17, 2016, previously published on October 12, 2016
On Sept. 22, 2016, the U.S. Department of the Treasury through its Office of Foreign Assets Control (OFAC) imposed sanctions against the PacNet Group (PacNet), a Canada-based international payments processor and money services business, and the entire PacNet operation, including a global network of...


Adobe PDFFirst it was Enron ...Then Big Banks .... Is the Nonprofit Next?
Gary R. Pannone; Pannone Lopes Devereaux & West LLC;
White Paper
October 14, 2016
It has been more than a decade since the American Competitiveness and Corporate Accountability Act of 2002 ("Sarbanes-Oxley Act") was signed into law and we have now had another recession caused in large part by irresponsible lending by banks. It was the same type of actions by Enron,...


HTMLIn GAMCO v. Vivendi, the Second Circuit Affirms that Value Investors Can Rely on the Fraud-on-the-Market Presumption Unless Specific Facts Establish Non-Reliance
Joel D. Rothman; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
October 13, 2016, previously published on October 11, 2016
On September 27, 2016, the Second Circuit ruled against an opt-out action brought in the continuing Vivendi litigation. The recently issued opinion, however, does have positive implications for institutional investor class participants. First, the opinion confirms the availability of the...


HTMLCanadian Appellate Court Confirms That Judges Must Consider Evidence From Both Parties when Deciding a Motion for Leave to Bring a Class Action
John F. Nucci; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
October 13, 2016, previously published on October 5, 2016
As detailed repeatedly in this space, the Canadian court system has issued a number of decisions which have altered the practice of bringing - or defending against - a securities class action for secondary market misrepresentation. In its recent decision in Mask v. Silvercorp Metals, Inc....


HTMLNew Regulations in Japan Concerning Margin Requirements on Uncleared OTC Derivatives
Makoto Koinuma, Koichiro Ohashi; Greenberg Traurig Horitsu Jimusho;
Legal Alert/Article
October 12, 2016, previously published on October 10, 2016
Following the publication of the final report by the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commission (IOSCO) in September 2013,1 which sets forth key principles for margin requirements for uncleared derivatives, the Financial Services Agency...


HTMLFraudulent Misrepresentation to Receivers and beyond: Meridian Credit Union Limited v Baig
Evita Ferreira; Borden Ladner Gervais LLP;
Legal Alert/Article
October 6, 2016, previously published on September 28, 2016
The Ontario Court of Appeal in Meridian Credit Union Limited v Baig1 made it clear that misinforming a receiver during the purchase of a property, even by omission, will not be tolerated. Purchasers in the context of a receivership have an obligation to ensure that the receiver is aware of all of...


HTMLChanging Seasons of FDIC Shared-Loss Programs
Duane Morris LLP;
Legal Alert/Article
October 6, 2016, previously published on September 22, 2016
As we head into autumn, many of us change our seasonal wardrobes, replace the filters in our home heating/cooling systems, swap our summer screens for winter’s storm windows and ready our vehicles for winter. Bankers participating in a Federal Deposit Insurance Corporation (FDIC) shared-loss...


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