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Lexology PRO | Asia-Pacific, Belgium, European Union, etc. | 28 May 2021

EU readopts ICAP cartel decision but cuts fine

The European Commission has readopted its decision against ICAP for its alleged role in a conspiracy to manipulate the market for yen interest rate derivatives but slashed the fine it imposed on the broker by €8 million.
Article
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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…
Commentary
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Thorsteinssons LLP | Canada | 14 Dec 2018

TFSA advantage tax: heads CRA wins, tails you lose

Earnings within tax-free savings accounts (TFSAs) and other tax-deferred plans are, in principle, supposed to grow tax free. However, some taxes still apply, including the advantage tax which applies at the rate of 100% of any 'advantage' (as defined in the Income Tax Act). This tax has become one of the Canada Revenue Agency's favourite tools to effectively expropriate what it views as......
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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…
Article
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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…
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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…
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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…
Article
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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…
Article
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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…
Commentary
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Tavernier Tschanz | Switzerland | 10 May 2018

Award set aside for lack of jurisdiction

In a recently published decision, the Supreme Court set aside an arbitral award on the grounds that the arbitral tribunal had wrongly accepted jurisdiction. Once the existence of an arbitration agreement is established, its scope and content are broadly construed under the assumption that, if they chose to enter into an arbitration agreement, the parties intended to have an arbitral tribunal......
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