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HTMLIt's Time for Executives to Check Their Corporate Indemnities and D&O Insurance
William C. Wagner; Taft Stettinius & Hollister LLP;
Legal Alert/Article
October 23, 2015, previously published on October 14, 2015
Many corporate executives, including directors, believe they would be fully indemnified from the cost of defending against a government investigation or prosecution. They find solace in articles of incorporation or bylaws that require their corporation to fully indemnify them from criminal, civil,...


HTMLGuarantors Can Use Anti-Deficiency Statute in North Carolina
Rayford K. (Trip) Adams; Spilman Thomas & Battle, PLLC;
Legal Alert/Article
October 22, 2015, previously published on October 13, 2015
The North Carolina Supreme Court recently handed down the final word in a dispute over whether guarantors get the benefit of the state’s anti-deficiency statute after the lender bids on and buys the real property at a foreclosure sale. And that word is that the guarantors can use the...


HTMLAdvisory Panel Recommends Modernization of Ontario’s Corporate and Commercial Laws
Matthew Cumming, Justin A. Lapedus, D.J. Lynde, Candace Pallone, Kelly Peters; McCarthy Tetrault LLP;
Legal Alert/Article
October 21, 2015, previously published on October 2, 2015
On July 9, 2015, the Ontario Ministry of Government and Consumer Services released a report entitled “Business Law Agenda: Priority Findings & Recommendations Report” (the “Report”), which it commissioned to obtain advice on priorities for reforming Ontario’s...


HTMLDeficiency Judgment Cases In North Carolina Just Got A Lot More Complex
Jay DeVaney, Brian T. Pearce; Nexsen Pruet, LLC;
Legal Alert/Article
October 7, 2015, previously published on September 25, 2015
A question that continually arose during the foreclosure deficiency actions that were spurred by the recent “Great Recession,” was whether or not a guarantor on a loan could raise the “defense” offered in N.C. Gen. Stat. § 45-21.36. The statute, thought to apply by its...


Adobe PDFFINRA's Projected 2015 Fines: Not Keeping Pace With 2014’s Total, But Still a Blockbuster Year
Peter J. Anderson, Eric A. Arnold, Bruce M. Bettigole, Patricia A. Gorham, Olga Greenberg; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
September 22, 2015, previously published on September 21, 2015
Despite a slowdown in the fines reported in 2015, the Financial Industry Regulatory Authority (FINRA) has continued to flex its enforcement muscle so far this year. During the first half of 2015, FINRA reported $37.5 million in fines in its monthly Disciplinary and Other FINRA Actions publications...


HTMLLender Held to Hold Unperfected Lien on Payment Right Under Borrower's Business Interruption Insurance Policy
Lawrence D. Coppel; Gordon Feinblatt LLC;
Legal Alert/Article
September 14, 2015, previously published on September 2015
In Wheeling & Lake Erie Railway Co. v. Keach (In re Montreal, Maine & Atlantic Railway, Ltd), --F3d--, 2015 WL 4934212 (1st Cir. August 19, 2015), a case of first impression at the appellate level, the US Court of Appeals for the First Circuit, applying Maine law, held that a lender’s...


HTMLAttention Banks and Thrifts: Use Caution Retaining Vendors To Investigate Matters Requiring Attention
Molly Z. Brown; McDonald Hopkins LLC;
Legal Alert/Article
September 14, 2015, previously published on September 11, 2015
At least every 12-18 months, federal and state banking regulators conduct an examination of the financial institutions under their jurisdiction to ensure that they are operating in a safe and sound manner and providing fair access to credit. If an examination reveals that practices deviate from...


HTMLProposed Rule Filed Applying "Gifts" Rule to Municipal Advisors
J. Andrew Gipson; Jones Walker LLP;
Legal Alert/Article
September 11, 2015, previously published on September 10, 2015
On September 2, the Municipal Securities Rulemaking Board ("MSRB") filed a proposed rule change with the Securities and Exchange Commission that would apply to municipal advisors limitations on business-related gift giving currently applicable to other municipal securities professionals...


HTMLProposed US Tax Legislation Aims to Curb Hedge Fund Reinsurance
Paul J. Ahn, Michael Greenberg, David D. Luce, Gerald Rokoff; DLA Piper (Canada) LLP;
Legal Alert/Article
September 10, 2015, previously published on July 1, 2015
Senator Ron Wyden (D-OR) has released legislation, the Offshore Reinsurance Tax Fairness Act (ORTFA), which aims to close what he perceives to be a loophole used to exploit an exception to the passive foreign investment company or PFIC tax rules.


HTMLComing Soon - Mandatory Clearing of Interest Rate Swaps Under EMIR
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
September 2, 2015, previously published on September 1, 2015
On August 6, 2015, the European Commission (EC) adopted new rules that will require the clearing of certain over-the-counter (OTC) interest rate swaps pursuant to the European Market Infrastructure Regulation (EMIR) (the EU IRS Clearing Rules). The EU IRS Clearing Rules are subject to approval by...


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