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A&O Shearman

Executive directors “knowingly concerned” in bank’s breach of the UK listing rules

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The UK Upper Tribunal (Tax and Chancery) has upheld the Financial Conduct’s Authority’s (FCA) decision to take action against two former executives of a bank for being “knowingly concerned” in the bank’s breach of the listing...more

Venable LLP

Irregular Time - A Quasi-Proposed Rule on Incentive-Based Compensation

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For the third time, federal agencies have issued a proposed rule to regulate incentive-based compensation paid by certain financial institutions and other entities (the 2024 Proposal). The 2024 Proposal has been released by...more

Stoel Rives - Notice of Appeal

Washington Supreme Court Unanimously Rejects the Apex Doctrine

Stoel Rives - Notice of Appeal on

In Stratford v. Umpqua Bank, No. 100717-5 (Sept. 14, 2023) (slip op.), the Washington Supreme Court rejected the application of the “apex doctrine” in Washington. The apex doctrine has been adopted by some jurisdictions to...more

Foley & Lardner LLP

Florida Banks: Beware of Eleventh Circuit Decision Implications

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Banks beware: At the very least in Florida, you may be liable for negligence and “aiding and abetting fraud” to non-customers for trust funds deposited by a bank customer that were obtained by the customer through fraud,...more

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