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Regulation D under the Securities Act of 1933, as amended (the "Securities Act"), sets forth a safe harbor from the registration requirement of the Securities Act for certain private placements of securities, including those to "accredited investors."

Investment firms within the scope of the Capital Requirements Directive (“CRD”) have much to do in 2007 in order to prepare for FSA’s new post-transitional rules which come into effect on 1 January 2008.

There has been much discussion over the impact of the Markets in Financial Instruments Directive (“MiFID”), particularly the application of the Best Execution requirements. Much of this focus has centred on the application of best execution to OTC products and how best execution is demonstrated in situations where the products are closely tailored to client requirements or are traded by a limited number of firms.

One month after the FSA introduced restrictions on short selling of shares in the UK, the US SEC, announced a temporary ban on so-called “naked” short selling, a practice that involves traders selling stocks short without borrowing the stock beforehand.

In the modern and increasingly tech-focused world, software technology is often a valuable asset of a potential borrower.

On October 23, 2008, both the United Kingdom Financial Services Authority (the "FSA") and the French Autorité des marchés financiers (the "AMF") published much-awaited proposals with respect to reporting of large shareholdings in listed companies.

Solicitors verify the source of funds to combat money laundering, as required by law and mortgage lenders. Clients must provide comprehensive bank statements and documentation to ensure compliance and expedite the conveyancing process.

In a case that will interest creditors with security over the assets of individuals, a provision of an Individual Voluntary Arrangement ("IVA"), seeking to prevent creditors from commencing or continuing proceedings against the debtor, has been held to be ineffective to prevent a secured creditor from enforcing its security.

The case of Cheshire Mortgage Corporation Limited against Morna Grandison (Judicial Factor on the estate of Longmuir & Co.) [2012] CSIH 66 provides useful guidance on the nature and extent of the implied "warranty of authority", and the extent and effect of letters of obligation.

Ms Hathway and Mr Hudson started a relationship in 1990.

HMRC replaced the Office of Fair Trading as the public body responsible for supervising estate agents under the Money Laundering Regulations 2007.

But there are two UK housing markets: one is exposed to rising interest rates and the other is more insulated. Mortgage-reliant households will be under extreme financial pressure...

For a long time, it's been the received wisdom that investing capital into property is safe, profitable and financially astute.

The Court of Appeal has recently recognised the limitations inherent in a mortgage valuation and the limited duty of care owed by the surveyor carrying out the report.

On 29 April 2005, HM Revenue & Customs published new guidance for academics acquiring shares in university spinout companies. The guidance explains the new legislation enacted in the recent Finance Act 2005.

Tom Squire and Martin Connolly discuss how new legislation is making the UK a more attractive domicile for UCITS funds.

The global financial crisis has brought in an era of low interest rates. Eight years on from the onset of the crisis growth remains subpar and interest rates have drifted lower still, sometimes into negative territory.