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HTMLFCA on Restriction of Retail Distribution of CoCos and Mutual Funds
Harvey Knight, Kirsten Lapham, Colin Smith; Withers Bergman LLP;
Legal Alert/Article
November 28, 2014, previously published on November 4, 2014
The FCA is proposing to put in place new requirements which would apply when mutual society shares are sold to ordinary retail investors and to tighten the rules around the sale of contingent convertible securities (‘CoCos’). The FCA’s decision is driven by the fact it says; that...

 

HTMLWhen Requesting the Abatement of Penalties for Failure to File International Information Returns Can Be a Trap for the Unwary
Seth G. Cohen; Withers Bergman LLP;
Legal Alert/Article
November 28, 2014, previously published on November 20, 2014
A letter from the Internal Revenue Service (IRS) threatening to impose substantial (some would say draconian) penalties can be a harrowing experience for any taxpayer or their advisor. A natural reaction would be to send a letter or make a phone call to the IRS requesting that the penalty be either...

 

HTMLMarket Abuse Surveillance: A Reminder for Prop and Client Traders
Harvey Knight, Kirsten Lapham, Colin Smith; Withers Bergman LLP;
Legal Alert/Article
November 28, 2014, previously published on November 4, 2014
Patrick Spens, head of market monitoring, at the FCA recently spoke about the FCA’s market surveillance tools and expectations, which serves as a reminder to firms to ensure that they have adequate systems and controls to detect market abuse and suspicious transactions, either through...

 

HTMLCFPB Issues Fall 2014 Supervisory Highlights Report
Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
November 28, 2014, previously published on November 6, 2014
On October 30th, the CFPB issued its Supervisory Highlights Report. This is the fifth edition of the Report and generally covers CFPB supervisory activities between March and June 2014. The Report highlights problems in two specific markets: student loan servicing and mortgage servicing.

 

HTMLThe Liechtenstein Disclosure Facility - Recent Changes
James Edwards; Withers Bergman LLP;
Legal Alert/Article
November 28, 2014, previously published on November 20, 2014
HM Revenue & Customs (HMRC) has offered several opportunities over the past seven years to encourage errant tax payers to come forward in order to regularise their tax affairs on relatively benign terms. In 2007 HMRC offered the Offshore Disclosure Facility (ODF) which afforded taxpayers the...

 

HTMLCFPB Issues Final Rule on Annual Privacy Notices
Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
November 28, 2014, previously published on November 6, 2014
On October 20th, the CFPB issued a final rule that will permit financial institutions subject to the CFPB’s Regulation P, which implements the Gramm-Leach-Bliley Act’s privacy provisions (GLBA), to provide their customers with the annual privacy notice by an alternative method. Under...

 

HTMLCFPB Finalizes Amendments to Mortgage Rules
Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
November 28, 2014, previously published on November 6, 2014
On October 23rd, the CFPB issued a final rule amending three provisions of the CFPB’s 2013 mortgage rules.

 

HTMLTax Avoidance Schemes: The Balance Between Avoidance and Evasion
Tessa Lorimer; Withers Bergman LLP;
Legal Alert/Article
November 28, 2014, previously published on November 5, 2014
Tax avoidance schemes have been plastered all over the press of late. Almost on a daily basis hither to much loved pop stars and television personalities have been ‘ousted’ for investing in a tax avoidance scheme. Taxpayers who have been used to having complete confidentiality regarding...

 

HTMLFlorida Court Casts Doubt on Ability to Rely on Account Histories of Prior Note Holders and Servicers
Craig S. Barnett, Avi Benayoun, Michele L. Stocker; Greenberg Traurig, LLP;
Legal Alert/Article
November 28, 2014, previously published on November 13, 2014
On Oct. 13, 2014, the First District Court of Appeal issued a significant decision in Burdeshaw v. The Bank of New York Mellon, et al., -- So. 3d -- (Fla. 1st DCA Oct. 13, 2014) which now calls into question whether a note purchaser can rely on the business records of prior note holders and...

 

HTMLIgnoring IRS Notice of Deficiency May Leave Taxpayer With No Recourse for Contesting Tax Liability
Jill Misener, David J. Moise; Withers Bergman LLP;
Legal Alert/Article
November 28, 2014, previously published on November 20, 2014
The US Tax Court recently held in Onyango v. Comm’r 142 T.C. 24 (2014) that a taxpayer could not contest a tax liability prior to making payment where the Internal Revenue Service (IRS) issued a valid Notice of Deficiency and the taxpayer failed to take advantage of previous opportunities to...

 


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