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Charges, Mortgages, Indemnities
Canada
Aird & Berlis LLP
On December 18, 2019, the Ontario Court of Appeal (the "OCA") released its decision in Hilson v. 1336365 Alberta Ltd.1 Among the issues considered
Cyprus
A. Karitzis & Associates L.L.C
Με ηλεκτρονικά μέσα, από τον ενυπόθηκο δανειστή, μέσω ηλεκτρονικών συστημάτων πλειστηριασμού κ&
A. Karitzis & Associates L.L.C
Electronically, by the mortgage creditor, through electronic auction systems and through a website under the provisions of the Decree.
Turkey
Aksan Law Firm
İcra Müdürlüklerinde nezdinde borçlular hakkında başlatılan icra takiplerinin tam ödenmemesi veya ödendi sanılarak bakiye bırakılması veya icra dosyasına istinaden haricen yapılan ödemeler nedeniyle alacaklı vekilinin tahsilat ...
UK
Hogan Lovells
The Financial Conduct Authority (FCA) has published a reminder to firms that, from 9 December 2019, MIFID investment firms and optional exempt firms should use a new form to submit information
Hogan Lovells
The FCA has finalised changes to its responsible lending rules and guidance to introduce a modified affordability assessment for eligible consumers with immediate effect.
United States
Mayer Brown
This Legal Update gives an overview of the Council's newly revised evaluative process.
Cadwalader, Wickersham & Taft LLP
A firm settled FINRA charges for providing employer sponsors and employee participants with inaccurate information regarding the retirement plans offered by the firm
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for best execution failures and "unfair and unreasonable" markups on municipal securities transactions.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for executing customer transactions in a municipal security in an amount lower than the issue's minimum denomination.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for inaccurately reporting over 1 billion reportable order events ("ROEs") to the Order Audit Trail System ("OATS")
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement and maintain a sufficient supervisory system, which led to violations of FINRA Rule 3110 ("Supervision") and other securities regulations
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for supervisory failures concerning "excessive sales charges" in early rollovers of Unit Investment Trusts ("UITs")
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled charges brought by the Enforcement Section of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth
Cadwalader, Wickersham & Taft LLP
A broker-dealer firm settled FINRA charges for failing to amend its representatives' Uniform Application for Securities Industry Registration or...
Mayer Brown
The agencies responsible for the securitization credit risk retention regulations and qualified residential mortgages ("QRMs") are asking for public input as part of their periodic review
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for late and inaccurate reporting and recordkeeping violations.
Cadwalader, Wickersham & Taft LLP
A firm settled FINRA charges for failure to comply with short interest reporting requirements, related supervisory failures concerning certain foreign-listed securities...
Cadwalader, Wickersham & Taft LLP
A company and several associates settled CFTC charges for failing to register as commodity trading advisors ("CTAs") while offering foreign currency transactions to retail customers.
Dentons
On Wednesday, October 9, 2019 the Treasury Department published proposed regulations, primarily under Section 1001 of the Internal Revenue Code of 1986,
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