Edward Johnsen

Edward Johnsen

DLA Piper

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SEC sanctions private equity fund adviser for acting as an unregistered broker

On June 1, 2016, the Securities and Exchange Commission issued a press release announcing that a private equity fund advisory firm and its owner have agreed to pay more than $3.1 million to settle charges that included...more

6/10/2016 - Brokers Enforcement Actions Investment Adviser Private Equity Private Equity Funds Sanctions SEC Unregistered Brokers

The Financial Report, Volume 5, Number 10 - May 2016 (Global)

Two stories prominent in the financial media this week highlight the interesting policy challenges facing the nation’s lawmakers. On Monday, the so-called equity crowdfunding rules went into effect. The rules,...more

5/23/2016 - Capital Formation Crowdfunding Customer Due Diligence Disruptive Trading Practices Dodd-Frank Donald Trump FinTech Innovation Interest Rates JOBS Act Liquidity Coverage Ratio Non-GAAP Financial Measures Prospectus Residual Interest Student Loans

The Financial Report, Volume 5, Number 9

We generally avoid commenting on politics in these pages as it is usually beyond the scope and purpose of this publication. Increasingly, however, we are being asked for our thoughts about how the upcoming general election...more

5/6/2016 - Canadian Securities Administration Consolidated Audit Trail Donald Trump EDGAR FFIEC FinTech Incentive Compensation ISDA Market Abuse Presidential Elections Regulation Technical Standards (RTS)

The Financial Report - Volume 5, No. 8 - April 2016 (Global)

There are currently only three SEC Commissioners, rather than the normal five. A recent New York Times article discussed what appears to be a logjam in the approval of two apparently highly qualified nominees for the open...more

4/25/2016 - Bernie Sanders Cooperation Cybersecurity EDGAR Enforcement Actions European Central Bank FinTech FSOC G-SIB Hillary Clinton ISDA JPMorgan Chase PCAOB Pensions SEC SMEs Tick Size Wall Street

The Financial Report - Volume 5, No. 7 - April 2016 (Global)

- United States US indicts Iranian computer specialists for cyberattacks on banks and a dam. The New York Times reported that the Justice Department unsealed an indictment against seven Iranian computer specialists who...more

4/12/2016 - Canadian Securities Administration Corporate Governance Cyber Attacks Exchange-Traded Products Federal Reserve Financial Conduct Authority (FCA) FinCEN Fixing America’s Surface Transportation Act (FAST Act) Innovation Proxy Voting Guidelines Shareholder Proposals Unicorns

The Financial Report - Volume 5, No. 6 - March 2016 (Global)

DLA Piper was proud to be a sponsor of last week’s Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society Annual Seminar in Orlando. The seminar brought together nearly 2,000 lawyers,...more

3/25/2016 - ASIC Australia Basel Committee Canada Central Counterparties Congressional Investigations & Hearings Corporate Governance Enforcement Actions EU Federal Reserve Money Market Funds Mortgage REITS No-Action Relief PCAOB SIFMA Volcker Rule

The Financial Report - Volume 5, No. 5 - March 2016 (Global)

The buzz phrase of the moment in the financial services industry is robo adviser. On Monday, February 29, The Wall Street Journal published a Journal Report in the Personal Finance Section of that day’s newspaper. The...more

3/14/2016 - Asia Pacific Canada Central Counterparties CFTC Derivatives Clearing Organizations Diversity EU FASB Investment Adviser Investment Funds JPMorgan Chase Municipal Securities Issuers No-Action Letters Ontario Securities Commission (OSC) Proposed Regulation Reporting Requirements Ring-Fencing Securities Fraud Singapore Takeover Bids UK

The Financial Report - Volume 5, No. 4 - February 2016 (Global)

A recent federal district court decision and a proposed New York State Department of Financial Services regulation have further expanded the risk of liability for chief compliance officers, this time in the context of...more

3/3/2016 - ASEAN Funds Banking Examinations Benchmarks Canada Enforcement Actions ETFs Financial Services Industry Hedge Funds IOSCO Listing Standards No-Action Relief Ontario Securities Commission (OSC) PCAOB Putative Class Actions Registration Requirement Responsible Corporate Officer Doctrine Security-Based Swaps

The Financial Report - Volume 5, No. 3 - February 2016 (Global)

Democratic presidential candidates Bernie Sanders and Hillary Clinton have been taking jabs at one another about who would do a better job of holding financial services firms and their employees responsible for misconduct....more

2/22/2016 - AML-CTF ASEAN Funds Australia Banking Sector Benchmarks Canada Diversity Enforcement Actions EU European Central Bank Funding Portal IOSCO ISDA Japan No-Action Relief Ontario Securities Commission (OSC) Prospectus Resource Extraction Terrorism Funding UK

The Financial Report - Volume 5, No. 2 - January 2016 (Global)

This week, the United States Supreme Court agreed to hear a case that could help to define what conduct constitutes insider trading and what level of proof the government must meet to successfully prosecute alleged insider...more

1/27/2016 - AIFMD Anti-Competitive Basel Committee Crowdfunding EU Passport Federal Reserve Fixing America’s Surface Transportation Act (FAST Act) FSB Insider Trading ISDA Margin Requirements MSRB Non-GAAP Financial Measures Payment Systems Regulation Technical Standards (RTS) SEC Examination Priorities US v Salman

Annual privacy notice requirement eliminated for certain financial institutions

In December, President Barack Obama signed into law the Fixing America’s Surface Transportation Act. Buried on page 476 of this 490-page bill is an amendment to the consumer privacy provisions of the Gramm-Leach-Bliley Act...more

1/18/2016 - CFTC Fixing America’s Surface Transportation Act (FAST Act) Gramm-Leach-Blilely Act Notice of Privacy Practices SEC

The Financial Report - Volume 4, No. 21 - November 2015 (Global)

Discussion and Analysis On October 30, 2015, the Securities and Exchange Commission published its long-awaited rules under Title III of the Jumpstart Our Business Startups (JOBS) Act. According to the nearly 700-page...more

11/12/2015 - Asia Pacific Australia Canada Crowdfunding Enforcement Actions ETFs EU Financial Conduct Authority (FCA) JOBS Act Market Abuse Regulation Technical Standards (RTS) SEC Stress Tests Whistleblower Protection Policies

The Financial Report - Volume 4, No. 12 • June 2015 (Global)

Discussion and Analysis - Golf fans were captivated by the US Open played at Chambers Bay, a public course overlooking Puget Sound in Washington state, which concluded on Sunday. The Wall Street Journal’s sports...more

7/3/2015 - Australia Banking Sector Capital Markets CFTC EU Financial Conduct Authority (FCA) Financial Markets Ontario Securities Commission (OSC) Peer-to-Peer Prudential Regulation Authority SEC U.S. Treasury

SEC proposes substantial new reporting requirements for investment advisers on Form ADV: key points

The Securities and Exchange Commission has issued proposed rules (the Proposal) under the Investment Advisers Act of 1940, as amended, that would, among other things, expand the information collected on Form ADV, provide for...more

6/4/2015 - Affiliates Disclosure Requirements Form ADV Investment Adviser Investment Advisers Act of 1940 NPRM Recordkeeping Requirements Reporting Requirements SEC Separate Accounts Umbrella Registration

The Financial Report - Volume 4, No. 7 • April 2015 (Global)

Discussion and Analysis - Last week, the Securities and Exchange Commission proposed to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, which exempts certain broker-dealers from membership in a...more

4/8/2015 - AIFMD Algorithmic Trading Anti-Money Laundering ASIC Broker-Dealer Capital Formation CCO CFTC Cross-Border EBA EMIR Enforcement Actions European Securities and Markets Authority (ESMA) FCMs Financial Conduct Authority (FCA) FINRA Hong Kong IOSCO ISDA MiFID NFA OTC PRA Regulation A Resource Extraction Rule 15B9-1 SEC Securities Singapore Swaps UK

SEC proposes requiring FINRA membership for exchange-member-only broker-dealers

The Securities and Exchange Commission has published a proposal to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, which exempts certain broker-dealers from membership in a registered national...more

4/2/2015 - Broker-Dealer Exemptions FINRA Hedging High Frequency Trading Rule 15B9-1 SEC Securities Exchange Act

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