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SEC and OCC Seek Accommodation with Fintech Firms

USA - December 22 2016 In November, industry participants and their regulators convened at the SEC for a special forum on the use of financial technology (fintech). In…

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

USA - October 13 2016 The Securities and Exchange Committee (SEC) staff published Guidance Update 2016-04, concerning business continuity plans regarding companies within…

Ex parte communications between reinsurer’s attorney and party-appointed arbitrator lead to vacatur of award

USA - September 7 2016 The Sixth Circuit recently held that a lower court erred by refusing to vacate an arbitration panel’s interim and final awards due to ex parte…

Court confirms interim award of injunctive relief but refuses to confirm non-final opinion of arbitrator that arbitration was binding

USA - August 18 2016 In a real estate broker commission dispute, the arbitrator had granted injunctive relief in favor of the plaintiff broker, ordering a percentage of…

Second Circuit upholds confirmation of Mexican arbitration award and denial of comity to a contrary Mexican judgment

Mexico, USA - August 16 2016 On December 12, 2013, we reported on a United States District Court's confirmation of a roughly $400 million Mexican arbitration award entered…