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A&O Shearman

Fool's gold: when you have to pay for pre-contractual services

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H&P, an investment bank, provided services allegedly worth USD 18 million to Randgold, who H&P had assumed was a client. However, terms of their engagement were never formalised or even written down. After the transaction,...more

Benesch

AI Reporter - December 2024

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The U.S. government has expanded its relationship with OpenAI as NASA, the National Gallery of Arts and the IRS purchased ChatGPT licenses. This comes despite policymakers mulling potential concerns about the technology....more

Cadwalader, Wickersham & Taft LLP

Reliable Expectations May 2024 - Diversity in Fund Finance Boundary Breaker Speaker Series with Henry Tang

The US Diversity in Fund Finance Committee of the Fund Finance Association held the latest event in their Boundary Breaker speaker series this week. The event, co-sponsored by Haynes Boone and Standard Chartered, was a great...more

Integreon

Streamlining NDA Negotiations for Middle Market Investment Banks: The Case for a Transformative, Tech-Enabled Solution

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In the fast-paced world of middle market investment banking, efficiency is currency. Large investment banks representing sellers often enter into thousands of non-disclosure agreements (NDAs) every year. These agreements are...more

McDermott Will & Emery

HPE Miami 2023 | Assessing Market Conditions in the Current Economic Environment

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Partner Andrea Zazulia moderated a panel during the Independent Healthcare Company Transactions Forum that focused on the ripple effects of recent market dynamics and the short- and long-term prognosis for healthcare...more

Proskauer - Private Market Talks Podcast

[Podcast] Private Market Talks Episode 4: Market on the Move with Bain Capital Credit's Mike Ewald

As private credit lenders move up market, Mike Ewald, partner at Bain Capital Credit, joins the Private Market Talks podcast to discuss how big the market might get, when – and if – the syndicated market comes back, and what...more

American Conference Institute (ACI)

[Virtual Conference] Regulatory Compliance for Financial Institutions - November 23rd - 24th, 8:45 am - 5:00 pm EST

ACI’s 27th Annual Flagship Conference on Regulatory Compliance for Financial Institutions will take place virtually on November 23 – 24, 2021 (EST). Join regulators and industry peers for a series of in-depth discussions...more

UB Greensfelder LLP

[Webinar] FINRA 2021: What to Expect - February 24th, 2:00 pm - 3:00 pm EST

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Join Ulmer partners Alan M. Wolper and Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments....more

UB Greensfelder LLP

[Webinar] Data Protection & Cybersecurity Challenges for Financial Institutions in 2021 - February 17th, 2:00 pm - 3:00 pm EST

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Join Frances Floriano Goins and Laura J. Shaw, Associate General Counsel from KeyBank, NA, as they review the myriad regulatory schemes that govern data protection for financial services providers, keying in on both newly...more

UB Greensfelder LLP

[Webinar] SEC Update: Reg BI, Enforcement Activity, and the Willfulness Standard - February 11th, 2:00 pm - 3:00 pm EST

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Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also...more

UB Greensfelder LLP

[Webinar] FINRA Expungement: Rule Changes and Updates - February 9th, 2:00 pm - 2:30 pm EST

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Join Christopher D. Seps as he discusses the rule changes that recently took effect related to FINRA’s expungement process, as well as proposed changes that will likely be approved and take effect in 2021. These changes...more

Robins Kaplan LLP

Interview with Marian Pardo, Managing Director and Principal of Virtual Capital Management, LLC

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One Of Our Members Sits Down With Marian Pardo, The Managing Director And Principal Of Virtual Capital Management LLC, Trustee Of J.P. Morgan Mutual Funds, And Non-executive Director Of Viramal Limited. Ms. Pardo Shares With...more

Dechert LLP

Financial Services Quarterly Report - Fourth Quarter 2019: To Compliance and Beyond: the Central Bank’s Forward View for 2020

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A recent Dechert OnPoint, No Reward for Good Behaviour: The Central Bank’s Approach to Enforcement, examined new guidance of the Central Bank of Ireland (Central Bank) regarding the enforcement process involving non-compliant...more

Robins Kaplan LLP

Financial Daily Dose 10.11.2019 | Top Story: France’s Renault Cans CEO Over Ties to ex-Nissan Chief Carlos Ghosn

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Because the Nissan leadership scandal is about as well-contained as Chernobyl in the early days [thanks, HBO], French automaker Renault has voted this morning to remove Chief Executive Thierry Bolloré amid concerns over the...more

Robins Kaplan LLP

Financial Daily Dose 5.23.2019 | Top Story: Deutsche Bank admits to using faulty AML software

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Deutsche Bank on Wednesday confirmed the basics of a recent German newspaper report that revealed that the bank “had used faulty software to screen customer transactions for suspicious activity” while claiming that “no...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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More on the Saudi crackdown initiated by Crown Prince Mohammed bin Salman over the weekend, including the government’s move to confiscate and freeze more than $800 billion in assets from the detailed princes and other...more

A&O Shearman

MiFID II for Non-EU Investment Banks and Brokers

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The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018. Some aspects of this legislation are extra-territorial. New rules on inducements, the unbundling of research, legal...more

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