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|FINRA and U4 Reporting: Do You Have A Target On Your Back?|
Emily P. Gordy, Renee Kramer; Shulman, Rogers, Gandal, Pordy & Ecker, P.A.;
April 14, 2015, previously published on April 2, 2015FINRA member firms will soon face obligations set forth in FINRA Rule 3110(e), which takes effect on July 1, 2015 and requires that firms verify the accuracy and completeness of the information contained in an applicant's Form U4. The amended rule also requires that firms adopt written procedures...
|Bitcoin: Is It a Viable Security Asset?|
Martin Fanning, James Marsden, Adam Pierce; Dentons Canada LLP;
April 14, 2015, previously published on March 31, 2015In its short history, Bitcoin has generated a huge amount of commentary and has polarised views. Some see it as a game-changing, revolutionary form of currency. Others find it hard to see beyond its undoubted immediate problems, in particular its volatile value and its lack of regulation and...
|Receivables Finance - Overriding Blocks to Assignment|
James Harvey, Alexander Hewitt; Dentons Canada LLP;
April 14, 2015, previously published on March 31, 2015The Small Business Enterprise and Employment Act received Royal Assent on 26 March and, when implemented, is expected to produce a huge boost in SME receivables finance.
|FDCPA Concerns for Debt Buyers and Related Impact on Debt Settlement Firms|
Christopher R. Rahl; Gordon Feinblatt LLC;
April 14, 2015, previously published on March 2015The Fair Debt Collection Practices Act (“FDCPA”), among other things, bans all false, deceptive, misleading, and unconscionable debt collection practices, including any false representations concerning the “character, amount, or legal status” of a debt. Three recent...
|New Resolutions No. 160 and No. 161 of the Board of the National Bank of Ukraine (“NBU”) Dated 3 March 2015 Enter Into Force as of 4 March 2015.|
Natalia Selyakova; Dentons Canada LLP;
April 14, 2015, previously published on March 4, 2015Resolution No. 160 was adopted to replace the earlier “anti-crisis” Resolution of the NBU No. 758 dated 01 December 2014, as amended, that expired on 3 March 2015. As a general matter, the Resolution prolongs the previously effective anti-crisis measures and introduces several new...
|The CFPB Sues Debt Collectors, Their Payment Processors and Their Calling Center|
Sutherland Asbill Brennan LLP;
April 14, 2015, previously published on April 10, 2015On March 26, 2015, the CFPB filed a lawsuit in the United States District Court for the Northern District of Georgia against several debt collectors and their principals, companies that processed the payments for the debt collectors and a company that made pre-recorded telephone calls to consumers...
|NASAA M&A Broker Model Rule|
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Yasho Lahiri; Sutherland Asbill & Brennan LLP;
April 10, 2015, previously published on April 10, 2015On January 15, 2015, the Broker-Dealer Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed uniform state model rule (the Model Rule) regarding the exemption of certain merger and acquisition brokers (M&A Brokers) from state registration...
|Proposed Amendments to TSX Company Manual Regarding Closed-end Funds, Exchange Traded Products and Structured Products|
Andrew Armstrong, Michael J. Eldridge, Jonathan R. Grant, Wendi A. Locke; McCarthy Tétrault LLP;
April 7, 2015, previously published on January 28, 2015On January 15, 2015, the Toronto Stock Exchange (TSX) published proposed amendments (Amendments) to the TSX Company Manual which will introduce formal listing requirements for Closed-end Funds, Exchange Traded Products and Structured Products. The Amendments that relate to matters other than...
|Priority in Security Interests: Lessons for Secured Creditors|
M. Sandra Appel; Davis LLP;
April 7, 2015, previously published on January 20, 2015In the opening paragraph of his decision in CFI Trust v. Royal Bank of Canada 2013 BCSC 1715, Supreme Court Justice Elliot Myers drew a parallel to the dark comedy Fargo, but this case was no laughing matter to the two creditors involved, who were left fighting over the remains after the fraudulent...
|Recent Developments in BSA/AML and Sanctions: New Sanctions Targeting Persons in Venezuela and Expansion of Sanctions Addressing the Situation in Ukraine; DOJ Reaches First Criminal Settlement in “Operation Choke Point”; and FinCEN Proposes Special Measures Against an Andorran Bank Under Section 311 of the USA PATRIOT Act|
Nicolas Bourtin, H. Rodgin Cohen, Elizabeth T. Davy, Mitchell S. Eitel, Jared M. Fishman; Sullivan & Cromwell LLP;
April 6, 2015, previously published on March 18, 2015Last week, there were several important developments in the areas of U.S. Bank Secrecy Act/anti-money laundering (“BSA/AML”) and U.S. economic sanctions. On Monday, March 9, 2015, the President issued Executive Order 13692, implementing, for the first time, sanctions under the Venezuela...