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Articles 31 - 60 of 97
Full-Text Articles in Banking and Finance Law
The National Association Of Securities Dealers' Arbitration Of Investor Claims Against Its Brokers: Taming The Fox That Guards The Henhouse, Paul Joseph Foley
The National Association Of Securities Dealers' Arbitration Of Investor Claims Against Its Brokers: Taming The Fox That Guards The Henhouse, Paul Joseph Foley
North Carolina Banking Institute
No abstract provided.
The Availability Of Statutory Damages Under Tila To Remedy The Sharp Practice Of Payday Lenders, Thomas A. Wilson
The Availability Of Statutory Damages Under Tila To Remedy The Sharp Practice Of Payday Lenders, Thomas A. Wilson
North Carolina Banking Institute
No abstract provided.
Online Peer-To-Peer Payments: Paypal Primes The Pump, Will Banks Follow, Carl Kaminski
Online Peer-To-Peer Payments: Paypal Primes The Pump, Will Banks Follow, Carl Kaminski
North Carolina Banking Institute
No abstract provided.
State Farm Insurance: The Unitary Thrift Holding Company Model For Integrated Financial Services, Ryan Melcher
State Farm Insurance: The Unitary Thrift Holding Company Model For Integrated Financial Services, Ryan Melcher
North Carolina Banking Institute
No abstract provided.
The Victim's Fortune: The Struggle For Restitution For Holocaust Victims, Garrett Perdue
The Victim's Fortune: The Struggle For Restitution For Holocaust Victims, Garrett Perdue
North Carolina Banking Institute
No abstract provided.
Advisory Fees: Evolving Theories, Tamar Frankel
Advisory Fees: Evolving Theories, Tamar Frankel
Faculty Scholarship
The theories on which mutual fund advisers' fiduciary and advisory fees are based have evolved over time. They were changed to justify different public policy approaches and reflect different perceptions of the relationships between advisers and investors. Three theories have developed on the subject and yet another is percolating currently. The familiar context in which these theories arose is revisited to clarify their development.
Investor Skepticism V. Investor Confidence: Why The New Research Analyst Reforms Will Harm Investors, John L. Orcutt
Investor Skepticism V. Investor Confidence: Why The New Research Analyst Reforms Will Harm Investors, John L. Orcutt
Law Faculty Scholarship
Part I of this Article provides an overview of research analysts and their basic functions, including a discussion of sell-side analysts' role in the market's recent boom and bust. Part II examines the conflicts of interest that have plagued sell-side research, and Part III reviews the Regulatory Actions that are meant to address these conflicts. In Part IV, the author will make the case for encouraging, rather than lessening, investor skepticism in sell-side research and will explain why the Regulatory Actions are not likely to improve the performance of sell-side analysts. Finally, Part V will offer a simpler proposal to …
The Implied Waiver Solution To The Problem Of Privilege In The Individual Bankruptcy Case, Laura B. Bartell
The Implied Waiver Solution To The Problem Of Privilege In The Individual Bankruptcy Case, Laura B. Bartell
Law Faculty Research Publications
No abstract provided.
Impossible, Impracticable, Or Just Expensive? Allocation Of Expense Of Ancillary Risk In The Cmbs Market, 36 J. Marshall L. Rev. 653 (2003), Georgette Chapman Poindexter
Impossible, Impracticable, Or Just Expensive? Allocation Of Expense Of Ancillary Risk In The Cmbs Market, 36 J. Marshall L. Rev. 653 (2003), Georgette Chapman Poindexter
UIC Law Review
No abstract provided.
The Uniform Consumer Leases Act Arrives In Connecticut, Ralph J. Rohner
The Uniform Consumer Leases Act Arrives In Connecticut, Ralph J. Rohner
Scholarly Articles
No abstract provided.
Crackdown On Money Laundering: A Comparative Analysis Of The Feasibility And Effectiveness Of Domestic And Multilateral Policy Reforms, Kathleen A. Lacey, Barbara Crutchfield George
Crackdown On Money Laundering: A Comparative Analysis Of The Feasibility And Effectiveness Of Domestic And Multilateral Policy Reforms, Kathleen A. Lacey, Barbara Crutchfield George
Northwestern Journal of International Law & Business
This is a uniquely opportune time for anti-money laundering initiatives and policy reform to occur. Since the terrorist attacks in the United States in September, 2001, security agencies throughout the world have rushed to follow leads that may prove that Osama bin Laden financed the attack with massive amounts of laundered money. Greater awareness of the harmful effects of money laundering, and public and governmental concerns regarding reverse-money laundering by terrorists, has resulted in a surge of attention directed toward anti-money laundering efforts. Consequently, financial institutions are under increasing pressure to comply with existing anti-money laundering regulations by implementing internal …
Rebuilding Accountability In The Boardroom, Stephen M. Davis
Rebuilding Accountability In The Boardroom, Stephen M. Davis
Richmond Journal of Global Law & Business
No abstract provided.
Religious Expression, Government Funds, And The First Amendment, Suart J. Lark
Religious Expression, Government Funds, And The First Amendment, Suart J. Lark
West Virginia Law Review
No abstract provided.
Enron: A Financial Reporting Failure, Anthony H. Catanach Jr., Shelley Rhoades-Catanach
Enron: A Financial Reporting Failure, Anthony H. Catanach Jr., Shelley Rhoades-Catanach
Villanova Law Review (1956 - )
No abstract provided.
Modeling A Response To Predatory Lending: The New Jersey Home Ownership Security Act Of 2002, Baher Azmy, David J. Reiss
Modeling A Response To Predatory Lending: The New Jersey Home Ownership Security Act Of 2002, Baher Azmy, David J. Reiss
Cornell Law Faculty Working Papers
Professor Baher Azmy and Professor David Reiss document how predatory home lending practices have become rampant throughout the country and, notably, among low- and moderate-income and African American communities in New Jersey. Their article analyzes this emerging problem as a sometimes devastating side effect of the rapid increase in American home ownership, an otherwise almost completely desirable phenomenon. Because predatory lending has been so difficult to define, states have struggled to regulate it. New Jersey, building on the work of a few other leading states, has drafted what many consider to be the new standard for predatory lending legislation, the …
What Did They Do And What Does It Mean? The Three-Judge Court's Decision In Mcconnell V. Fec And The Implications For The Supreme Court, Richard Briffault
What Did They Do And What Does It Mean? The Three-Judge Court's Decision In Mcconnell V. Fec And The Implications For The Supreme Court, Richard Briffault
Faculty Scholarship
My role at this symposium is to provide a brief overview of the three-judge court's decision in McConnell v. FEC, review the opinions, piece together what the court actually decided, and see how the Bipartisan Campaign Reform Act of 2002 ("BCRA") now stands. I will try to do that briefly, while giving a few general comments about what the court's opinions tell us about the state of campaign finance law today. As a preliminary matter, the three-judge court's opinions provide us with two radically different world views – almost two different intellectual universes – for thinking about campaign finance …
The Mechanisms Of Market Efficiency Twenty Years Later: The Hindsight Bias, Ronald J. Gilson, Reinier Kraakman
The Mechanisms Of Market Efficiency Twenty Years Later: The Hindsight Bias, Ronald J. Gilson, Reinier Kraakman
Faculty Scholarship
Twenty years ago we published a paper, "The Mechanisms of Market Efficiency," that sought to describe the institutional underpinnings of price formation in the securities market. Since that time, financial economics has moved forward on many fronts. The sub-discipline of behavioral finance has struggled to bring yet more descriptive realism to the study of financial markets. Two important questions are (1) how much has this new discipline changed our understanding of the efficiency and nature of the institutional mechanisms that set price in financial markets; and (2) how far does this discipline carry novel implications for the regulation of financial …
The Relationship Of Imf Structural Adjustment Programs To Economic, Social, And Cultural Rights: The Argentine Case Revisited, Jason Morgan-Foster
The Relationship Of Imf Structural Adjustment Programs To Economic, Social, And Cultural Rights: The Argentine Case Revisited, Jason Morgan-Foster
Michigan Journal of International Law
Perhaps as important as what this Note is, is what it is not: Economic theories abound concerning the causes of the Argentine crisis, some of which directly analyze the IMF's causal connection to the Argentine catastrophe. A Note on this subject would be one of economic theory, not international human rights law. While at certain points in the analysis of the human rights implications of SAPs, it will become difficult to avoid some speculation of economic theory, it is not the primary focus of this Note. Rather than implicate the IMF as part of the cause of the crisis, this …
Making Sense Of Successor Liability, Marie T. Reilly
Making Sense Of Successor Liability, Marie T. Reilly
Faculty Scholarship
A firm that buys assets from another firm ordinarily does not acquire liability to the seller's creditors simply by buying its assets. This ordinary rule is subject to important exceptions. The buyer's consent triggers an exception. If a buyer agrees to assume the seller's liability to third parties, it is for that reason liable. This article considers a more controversial exception - successor liability. When a court decides that an asset acquirer should be treated as a "successor" to the transferor, it is liable for the transferor's debts as though it were the transferor.
Diffusing Environmental Regulation Through The Financial Services Sector: Reforms In The Eu And Other Jurisdictions, Benjamin J. Richardson
Diffusing Environmental Regulation Through The Financial Services Sector: Reforms In The Eu And Other Jurisdictions, Benjamin J. Richardson
Articles & Book Chapters
The financial services sector has the potential to be an important facet of future systems of environmental governance. But, so far, only ad hoc policy initiatives have arisen in the EU and other countries addressing the environmental roles of banks or insurers. Because the financial services sector is where wholesale decisions regarding future development, and thus pressures on the environment, arise, reform of investment, banking and insurance services to promote long term investment and better consideration of environmental impacts may be an effective way to promote sustainable development. Reforms such as corporate environmental reporting requirements, mandatory environmental liability insurance, and …
Settlement Finality And Associated Risks In Funds Transfers – When Does Interbank Payment Occur?, Benjamin Geva
Settlement Finality And Associated Risks In Funds Transfers – When Does Interbank Payment Occur?, Benjamin Geva
Articles & Book Chapters
This paper addresses the first meaning of settlement finality, that is, the discharge of the interbank obligation. The discussion focuses on large-value transfer systems, namely, "systematically important" payment systems, and examines settlement finality therein under the provisions of Article 4A of the Uniform Commercial Code-Funds Transfers. Primary attention is given to the various implications of settlement finality under Article 4A, as well as to compliance with the statutory scheme with BIS Core Principles, in conjunction with system rules. Following the present discussion on the meaning of settlement finality, Part 2 of the paper sets out settlement mechanisms in large-value transfer …
Frictions And Tax-Motivated Hedging: An Empirical Exploration Of Publicly-Traded Exchangeable Securities, William M. Gentry, David M. Schizer
Frictions And Tax-Motivated Hedging: An Empirical Exploration Of Publicly-Traded Exchangeable Securities, William M. Gentry, David M. Schizer
Faculty Scholarship
As financial engineering becomes more sophisticated, taxing income from capital becomes increasingly difficult. We offer the first empirical study of a high profile strategy known as "taxfree hedging," which offers economic benefits of a sale without tnggering tax. We explore nontax costs that taxpayers face when hedging by issuing so-called "DECS," "PHONES," and other publicly-traded exchangeable securities. Focusing on 61 transactions between 1993 and 2001, we shed light on why taxpayers might prefer to hedge through private "over-the-counter" transactions: An offering of exchangeable securities is announced in advance and implemented all at once, triggering an almost 4 percent decline in …
Questions To Ask Before You Join A Club, Laura N. Beny, Paul S. Bird, Franci J. Blassberg, Michael P. Harrell
Questions To Ask Before You Join A Club, Laura N. Beny, Paul S. Bird, Franci J. Blassberg, Michael P. Harrell
Articles
Despite the recent flurry of large transactions in which a consortium of private equity firms have teamed up to make joint bids and acquisitions, “club deals” themselves are not breaking news. In fact, they have been a staple of small- and middle-sized private equity M&A transactions for years. Recently, however, there has been a growing trend toward large club deals with enterprise values over $1 billion.1 Due to their size, complexity and, often, international dimension, these transactions have generated considerable attention in the business press and have prompted much discussion among private equity professionals and the limited partners whose money …
Accounting, Steven Raymar, John Finnerty, Michael Zwecher
Accounting, Steven Raymar, John Finnerty, Michael Zwecher
Fordham Journal of Corporate & Financial Law
No abstract provided.
Corporate Governance Issues, Peter Peterson, John Foster, Jeffrey M. Colon, William Treanor
Corporate Governance Issues, Peter Peterson, John Foster, Jeffrey M. Colon, William Treanor
Fordham Journal of Corporate & Financial Law
No abstract provided.
Keynote Address, Susan S. Bies, Alan Rechtschaffen
Keynote Address, Susan S. Bies, Alan Rechtschaffen
Fordham Journal of Corporate & Financial Law
No abstract provided.
Public Relations, Howard J. Rubenstein, Jill Fisch, John Elsen, Stanley S. Arkin, Randall Smith, Carl Felsenfeld
Public Relations, Howard J. Rubenstein, Jill Fisch, John Elsen, Stanley S. Arkin, Randall Smith, Carl Felsenfeld
Fordham Journal of Corporate & Financial Law
No abstract provided.
Analyst Conflicts Of Interests: Are The Nasd And Nyse Rules Enough?, Karen Contoudis
Analyst Conflicts Of Interests: Are The Nasd And Nyse Rules Enough?, Karen Contoudis
Fordham Journal of Corporate & Financial Law
No abstract provided.
New York Revises Ethics Rules To Permit Limited Mdps: A Critical Analysis Of The New York Approach, The Future Of The Mdp Debate After Enron, And Recommendations For Other Jurisdictions, John P. Lucci
Fordham Journal of Corporate & Financial Law
No abstract provided.
A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia
A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia
Fordham Journal of Corporate & Financial Law
No abstract provided.