Category Archives: Banking and Finance law

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

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

Posted on April 17, 2019 by lawhukukinet

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.The program is designed to provide an open forum for … Continue reading →

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Wall Street’s Worst ‘Doublespeak’—The Yield Enhancement Strategy

Posted on April 17, 2019 by lawhukukinet

Wall Street is notorious for saying one thing to investors and meaning something else. It’s called “doublespeak,” language that deliberately obscures, disguises or distorts the meaning of words. The term was coined after the great British writer George Orwell used … Continue reading →

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UK Supreme Court clarifies issues on parent company liability in Lungowe v Vedanta

Posted on April 16, 2019 by lawhukukinet

Summary This landmark judgment from the UK Supreme Court means that the claim brought by 1,826 Zambian villagers against UK-based Vedanta and its Zambian subsidiary KCM can proceed to a trial of the substantive issues in the English courts. One … Continue reading →

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Financial Services Trade Associations Urge HM Treasury to Recognize EEA Derivatives Trading Venues in Event of No-deal Brexit

Posted on April 16, 2019 by lawhukukinet

  A number of key UK, EU and international financial services trade associations published a letter (dated April 5) to HM Treasury on the equivalence of European Economic Area (EEA) derivatives trading venues under the EU retained versions of European … Continue reading →

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Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management

Posted on April 15, 2019 by lawhukukinet

The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team … Continue reading →

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