Topic
client funds
150 published works
Legal Profession Blog
Video Testimony (Pre-COVID) Rejected By Iowa Supreme Court
The Iowa Supreme Court has reprimanded an attorney and affirmed the right to confront witnesses in-personThis attorney disciplinary case with interstate dimensions involves an Iowa-licensed attorney who practiced immigration law…
Global Regulation Tomorrow
FCA sends ‘Dear CEO’ letter to general insurance intermediaries on adequate client money arrangements
The Financial Conduct Authority (FCA) has sent a ‘Dear CEO’ letter from Christopher Woolard, interim chief executive officer, to general insurance intermediaries. The letter states that during the COVID-19 pandemic…
Corporate & Financial Weekly Digest
COVID-19: FCA Publishes Dear CEO Letter on Increased Client Money Balances
By Carolyn H. Jackson, Nathaniel Lalone, Neil Robson
On August 12, the UK’s Financial Conduct Authority (FCA) published a “Dear CEO Letter” (the Letter) for firms providing non-discretionary investment services that are experiencing an increase in levels of…
Global Regulation Tomorrow
Webinar: What’s on the horizon for financial services firms?
By Jonathan Herbst (UK), Hannah Meakin (UK), Mark Craggs (UK)
Client money The COVID-19 pandemic is having a severe impact on many business sectors, and financial institutions are no exception. Many firms are likely to encounter challenges of one form…
Legal Profession Blog
Now It’s Forever
An attorney who was admitted on conditions in 2006 and disbarred for misconduct in 2018 has now been permanently disbarred by the Louisiana Supreme CourtRespondent has intentionally failed to remit…
Legal Profession Blog
“The Guy With The Hat”
The Louisiana Supreme Court has permanently disbarred a suspended attorney based on multiple findings of ethics violations. In its report, the committee concluded that respondent’s offenses are so egregious that he…
The Suite Spot
Trust Accounting Software 101
All law firms are required to maintain accounting records for client funds deposited in trust accounts. Finding the right software solution to assist with the necessary record-keeping for those funds…
Legal Profession Blog
One Last Chance
The Minnesota Supreme Court declined to impose any active suspension of a second-offender attorneyThe Director of the Office of Lawyers Professional Responsibility (Director) filed a petition for disciplinary action against…
Legal Profession Blog
Labels
A Hearing Panel of the British Columbia Law Society issued its facts and determination in a matter involving client funds The Respondent was called and admitted as a member of the…
Global Regulation Tomorrow
Non-bank payment service providers – requirements for safeguarding of customer funds
By Simon Lovegrove (UK), Albert Weatherill (UK)
On 4 July 2019, the FCA published a new web page concerning a multi-firm review it had undertaken with 11 non-bank payment service providers to assess how well they meet…