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Steptoe & Johnson LLP | USA | 20 Dec 2018

UBS Financial Services Agrees to Pay $14.5 Million to Resolve Anti-Money Laundering Violations

On December 17, 2018, the Financial Crimes Enforcement Network (“FinCEN”) announced that UBS Financial Services, Inc. (“UBS”) had entered into a…

Hill Dickinson LLP | United Kingdom | 16 Nov 2018

Hindsight not such a great thing

Whilst hindsight is usually extremely beneficial in many aspects of life, not so when it comes to considering implied terms…

Bressler, Amery & Ross PC | USA | 7 Nov 2018

11th Circuit Denies Access to FINRA Arbitration where Dispute did not Arise out of the FINRA Member's Business Activities

The Eleventh Circuit's latest arbitration-related decision is a brush-back of the claimants securities bar's efforts to extend the breadth of who can…

Davies Ward Phillips & Vineberg LLP | Canada | 15 Oct 2018

Obey or Pay: OSC Warns Off-Shore, Unregistered Trading Platforms Offering Securities to Ontario Investors

The Ontario Securities Commission (OSC) recently approved a settlement agreement with eToro (Europe) Limited (eToro), a Cyprus-based brokerage firm…

Bressler, Amery & Ross PC | USA | 9 Oct 2018

Statutory Employment Discrimination Claims Compelled to Arbitration Pursuant to Brokerage Firm's Mandatory Arbitration Program

While brokerage industry rules traditionally exempt statutory employment discrimination claims from otherwise…

Thompson Hine LLP | USA | 1 Aug 2018

SEC’s Proposed ETF Rule Removes Some Conditions Compared to Prior Exemptive Orders, But Adds Others

All exchange-traded funds (ETFs) operate subject to a variety of conditions and required representations imposed by their respective exemptive…

Buckley LLP | USA | 15 Jun 2018

SEC settles RMBS supervision and improper markup allegations with brokerage firm

On June 12, the SEC issued an order against a brokerage firm to settle allegations that it violated antifraud provisions of federal securities laws…

Turner Parkinson LLP | United Kingdom | 10 Apr 2018

Expecting staff to work long hours can amount to a ‘provision, criterion or practice’

In United First Partners Research v Carreras, the question was whether an expectation that staff work long hours could amount to a ‘PCP’. Background…

Nctm Studio Legale | Italy | 30 Mar 2018

Business procurement as atypical form of brokerage: the obligation to register in the register of enterprises as essential requirement for the right to commission

In order to obtain the payment of the commission allegedly due to it by reason of the brokerage activity carried out, the owner of a consulting firm…

Morrison & Foerster LLP | USA | 12 Mar 2018

FINRA 2018 exam priorities: suitability and complex products remain front and center

In January 2018, FINRA released its annual examination priorities letter. The letter addresses a variety of areas that are important to U.S…
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