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Finance Lawyers USA - Recent Legal Articles
- Outsourcing of AML Compliance: How Far Can a Financial Institution Go?
Several banking giants, such as HSBC and Standard Chartered, are currently being investigated by US regulators for alleged failings in anti-money laundering (AML) compliance. All fingers point to lapses involving outsourcing units operating without adequate oversight.
- Reduce Personal Liability from Your Business
Here is a quick outline to help you avoid personal liability from your business. You’ll see that most of the authors advice derives from an informed use of corporations and corporate law, which is why…
- Schwab Auction Rate Securities' Investors, Are Your ARS Accounts Now Frozen?
Many investors have been "left out in the cold," so to speak, after they were left holding an unsalable product they were told was safe, secure, and "as good as cash." Investors were told that Schwab's Auction Rate Securities (ARS) were both liquid and safe when they were anything but. The economy's collapse in 2008 left investors out in the cold;t these illiquid assets could no longer be touched and they were in assets worthless.
- “Quick and Painless Job Stimulus: Knock the Chill off Small Businesses”
Small Businesses are very important to our economy. Easing their burden will certainly help economic growth. Current Rules of DTCC that provide remedies for SBs, supposedly enforced by the SEC, are not enforced, and this is having an immediate impact on SBs everywhere. This article points out these flaws and appeals for simple enforcement of existing rules so that SBs will not continue to be hamstrung or destroyed in the marketplace.
- Settling Tax Debt with an "Offer in Compromise"
There are lots and lots of offer in compromise companies advertising to get your money and in return have you pay “pennies on the dollar” to resolve your tax liability. This post reviews the real facts underlying how the offer in compromise process really works. First we’ll take a look at getting your offer in compromise based on economic hardship. We’ll examine just what this means in the offer in compromise arena.
- What to Look for in a Video Deposition
This article is an attempt to illuminate both the rudimentary and nuanced strategies required to consistently produce high-quality video depositions. I often worry that attorneys who order them are unaware that the footage for which they have paid dearly, is of exceedingly poor production value. The bottom line: all video depositions should look nearly identical (except for the witness, of course); it is the means by which that end is achieved that separates excellence from inferiority.
- Hedge Funds: The Role of Directors in the Life Cycle of a Fund - Cayman Islands
The board of directors play a central role in any offshore hedge fund. At every stage of the life cycle of a hedge fund the directors need certain critical information and documents in order to perform their duties. The life cycle can roughly be determined as the fund formation stage, the post launch operation (which might last several years) and then the eventual liquidation.
- Bankruptcy vs. Loss Mitigation
There are differences between bankruptcy and loss mitigation when it comes to solving your mortgage problems. A Broward County foreclosure attorney explains. When you are facing foreclosure, you may consider alternative measures such as bankruptcy or loss mitigation. It is important to understand the differences in evaluating which option might be best for you.
- Form PF: Essential Guide - August 2012
Some of the largest hedge fund managers will shortly make their initial filing for the Form PF, on August 29, 2012. This guide will recap on the previously announced and finalized Form PF obligations and provide an update on the most recent developments.
- Hedge Funds and Data Protection
Hedge funds are increasingly subject to international and local data protection regulations. The amount of personal data held by hedge funds and service providers continues to grow. As obligations to collect data increases with new regulations such as FATCA hedge fund managers and other service providers must pay attention to data protection laws and regulations.