Mondaq USA: Corporate/Commercial Law
Shearman & Sterling LLP
On November 9, 2017, ESMA published a consultation proposing amendments to RTS on the equity transparency obligations of trading venues and investment firms (Commission Delegated Regulation...
Cadwalader, Wickersham & Taft LLP
As a part of its FINRA360 review initiative, FINRA is enhancing the organization of its advisory committees in order to "increase transparency" and "improve effectiveness."
Cadwalader, Wickersham & Taft LLP
The MSRB requested public comment on how to most effectively facilitate compliance with, and understanding of, MSRB regulatory requirements for brokers, dealers...
Cadwalader, Wickersham & Taft LLP
The SEC Enforcement Division (the "Division") released its Annual Report for Fiscal Year 2017.
Kramer Levin Naftalis & Frankel LLP
On Sept. 29, 2017, the Securities and Exchange Commission (SEC) brought an emergency enforcement action against Maksim Zaslavskiy, REcoinGroup Foundation LLC (REcoin) and DRC World Inc., ...
Kramer Levin Naftalis & Frankel LLP
The Staff of the SEC's Division of Investment Management recently issued responses to several questions it has received regarding Rule 206(4)-5 of the Investment Advisers Act of 1940...
Foley Hoag LLP
In Washington, D.C., the news this week focused on President Trump's decision to designate (or redesignate) North Korea as a state sponsor of terrorism.
Cadwalader, Wickersham & Taft LLP
The SEC will not delay the implementation of the Consolidated Audit Trail ("CAT").
Kramer Levin Naftalis & Frankel LLP
The OCIE staff reported that some investment advisers published client statements in their advertisements that may constitute prohibited testimonials under of the Advertising Rule.
Cadwalader, Wickersham & Taft LLP
In November, FINRA will distribute to select firms a targeted exam letter on order routing conflicts.
Butler Snow LLP
At the beginning of this year, internet companies found strengthened protection from liability for users' sexual trafficking content thanks to the U.S. Supreme Court's decision not to review...
Morrison & Foerster LLP
NASDAQ Private Markets and Morrison & Foerster recently discussed the conditions a private company must satisfy in order to rely on Rule 506 for a private placement.
Fenwick & West LLP
After a record-breaking fiscal year 2016, the Securities and Exchange Commission's Enforcement Division had a somewhat quieter year, at least in terms of the number of actions filed.
Reed Smith
Some reports suggest that early stage companies have raised more money via ICOs this year than through traditional early stage venture capital funding.
Cadwalader, Wickersham & Taft LLP
The SEC approved a rule proposed by FINRA establishing the Consolidated Audit Trail ("CAT") fee dispute resolution process.
Sheppard Mullin Richter & Hampton
In Waggoner v. Barclays PLC, No. 16-1912 (2d Cir. Nov. 6, 2017), the United States Court of Appeals for the Second Circuit, in a Rule 10b-5 securities fraud action, affirmed the district court's order ...
Kramer Levin Naftalis & Frankel LLP
We are seeing Interval Alts (registered investment funds featuring hedge fund-like liquidity) being used for dedicated insurance-linked securities (ILS) strategies.
Foley & Lardner
When looking to raise capital, broker-dealer compliance may not be at the forefront of a private fund manager's mind. However, engaging individuals (including the fund manager's employees) ...
Kramer Levin Naftalis & Frankel LLP
On Oct. 11, the Securities and Exchange Commission, based on the recommendations made in the staff's Report on Modernization and Simplification of Regulation S-K (as required by Section 72003...
Morrison & Foerster LLP
During the recent PLI Seminar on Securities Regulation that took place in New York City on November 8-10, 2017, panelists briefly discussed the recent decisions by major index providers...
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Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Ropes & Gray LLP
What are the risks and rewards of giving to international causes and organizations? How can a donor make a meaningful contribution in another country, whether it be for disaster relief...
Dinsmore & Shohl
On Oct. 6, 2017, during a speech at New York University School of Law, Deputy Attorney General Rod Rosenstein explained the Department of Justice (DOJ) is reexamining current DOJ policy ...
Morrison & Foerster LLP
In a departure from prior practice, this year's SEC Government-Business Forum, an annual event typically held at the SEC's offices in Washington, DC...
Shearman & Sterling LLP
On October 19, 2017, the United States Government Accountability Office (GAO) issued an opinion[1] determining that the 2013 Interagency Guidance on Leveraged Lending (the "2013 Guidance")...
Arnold & Porter Kaye Scholer LLP
The tax reform proposals under consideration in both houses of Congress threaten to upend longstanding executive compensation practices.
Shearman & Sterling LLP
While there is no private right of action under the Foreign Corrupt Practices Act ("FCPA"), the plaintiffs' bar may have a new tool to punish companies for related conduct.
Mayer Brown
As businesses continue to leverage complex systems, managing the vulnerabilities inherent in such operations will become an increasingly important task.
Shearman & Sterling LLP
In response to a significant increase in acquisitions of companies in the EU by Chinese buyers in recent years, the foreign (i.e., non-EU) investment review legal framework in the EU is currently...
McDermott Will & Emery
Forthcoming changes to the Department of Justice's "Yates Memorandum" offer unanticipated legal compliance consequences for health systems that merit proactive consideration by the board.
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