Category Archives: Banking and Finance law

Banking and Finance Law news articles, reiews, notes and blog examples.

Judges weighing appeal by billionaire John Paul DeJoria and recidivist Howard Appel

A federal appeals panel is mulling whether billionaire John Paul DeJoria, recidivist securities fraudster Howard M. Appel and two other defendants should have to pay $21.4 million in damages arising from the looting and bankruptcy of a Texas company. Three … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , , , | Leave a comment

Brexit: European Council and UK agree further extension to Article 50

The EU Withdrawal (No.5 Bill) received Royal Assent earlier this week becoming the European Union (Withdrawal) Act 2019 (the 2019 Act). Section 1 of the 2019 Act places a legal obligation on the Government, requiring a Minister to move a … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , | Leave a comment

SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee

The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , , , | Leave a comment

SEC enforcement officials give tips on cooperation, Wells process at SEC Speaks

By Amanda Maine, J.D. SEC Enforcement Co-Directors Stephanie Avakian and Steve Peikin led a panel discussion with Division officials at this year’s PLI SEC Speaks conference in Washington, D.C. The officials gave advice on how to communicate with the Division … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , | Leave a comment

SEC issues first No-Action Letter for Unregulated ICO

On April 3, 2019, the Securities and Exchange Commission (“SEC”) issued its first no-action letter related to the offering and sale of digital tokens. The beneficiary is TurnKey Jet, Inc. (“TurnKey”) which proposes to offer and sell blockchain-based digital assets … Continue reading

Posted in Banking and Finance law | Tagged , , , , | Leave a comment