Edward Johnsen

Edward Johnsen

DLA Piper

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The Financial Report, Volume 6, Number 5

Discussion and Analysis Last week, the SEC’s Office of the Investor Advocate announced that it will host an “Evidence Summit” to discuss strategies for raising retail investors’ understanding of critical investment...more

3/13/2017 - Basel III Corporate Governance Crowdfunding Custody Rule Digital Currency Enforcement Actions Fiduciary Rule Hyperlink Insider Trading Liquidation Municipal Securities Issuers Recovery Plans Robo-Advisors Senior Management Regime (SMR)

The Financial Report, Volume 6, Number 4

Discussion and Analysis - On February 17, just as new rules to further facilitate intrastate and regional crowdfunding offerings are beginning to take effect, the Securities and Exchange Commission and the North...more

2/27/2017 - ASIC Benchmarking Capital Markets Crowdfunding Deregulation Enforcement Actions Janet Yellen MiFID II Regulation M Regulation SHO Regulation Technical Standards (RTS) SEC Examination Priorities Shadow Banking Small Business Stress Tests TRACE Venture Capital

The Financial Report, Volume 6, Number 3

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

2/15/2017 - Australia Basel Committee Corporate Governance Dodd-Frank EDGAR Electronic Blue Sheets Enforcement Actions EU European Securities and Markets Authority (ESMA) Executive Orders Fiduciary Rule Financial Regulatory Reform Financial Stability Board Hong Kong IOSCO Prudential Regulation Authority Ring-Fencing Trump Administration UK

The Financial Report, Volume 6, Number 2

Discussion and Analysis - Last week, Mary Jo White delivered her “farewell address” to The Economic Club of New York upon the completion of her term as the 31st Chair of the Securities and Exchange Commission. Her...more

2/3/2017 - Australia Civil Monetary Penalty Cross-Border Transactions Dodd-Frank Enforcement Actions EU Fiduciary Rule Hong Kong ISDA Mary Jo White Regulation AT Regulation D Superannuation UK Brexit Whistleblower Awards

Financial regulation in 2017: Europe and the US

The result of the UK referendum on its EU membership and the outcome of the US Presidential elections of 2016 have laid the ground for 2017 to be a year of transition for both Europe and the United States. As transitions are...more

1/20/2017 - Capital Markets Union CFPB Community Reinvestment Act Dodd-Frank EU Financial Regulatory Reform FinCEN FinTech General Data Protection Regulation (GDPR) MiFID II Prudential Regulation Authority Senior Management Regime (SMR) Trump Administration UK UK Brexit Volcker Rule

The Financial Report, Volume 6, Number 1 - January 2017

As we enter our sixth year of publication, I am reminded of the old curse (or is it a blessing?), “may you live in interesting times.” Before our next edition is published, a new President will be seated in the Oval Office...more

1/13/2017 - Benchmarks C&DIs Comptroller Cross-Border Transactions EDGAR Enforcement Actions Fixing America’s Surface Transportation Act (FAST Act) FOIA Harmonization Rules Institutional Investors ISDA JOBS Act MiFID II Regulatory Agenda SEC Senior Managers Solvency II Stress Tests Trump Administration

The Financial Report, Volume 5, Number 22 - December 2016

Discussion and Analysis - Whenever a pendulum swings too far in one direction, it is inevitable that it will swing back in the opposite direction. Some simply refer to this as a “reversion to the mean.” Tuesday’s...more

12/13/2016 - CD&I Credit Rating Agencies Cybersecurity EMIR Enforcement Actions Financial Services Industry FinTech Insider Trading Mary Jo White National Bank Charters Regulation A Stock Exchange Stress Tests US v Salman

The Financial Report, Volume 5, Number 21 - November 10, 2016

Many people reading this issue of The Financial Report will be very surprised by the results of the Presidential election and, as always, many will also be disappointed. But, as typically happens every four years, the...more

11/14/2016 - Australia BSA/AML Comptroller Corporate Governance Cybersecurity EDGAR FinTech Japan MiFID II MREL No-Action Letters Patriot Act Small Business UK Brexit Universal Proxy Cards

The Financial Report, Volume 5, Number 20 - October 2016

With the general election now less than two weeks away, it is more apparent than ever that Americans often are sharply divided about how best to achieve certain goals, even if we agree on the goals we are trying to achieve....more

10/31/2016 - Appraisal Australia CD&I Cybersecurity De Minimus Quantity Exemption Enforcement Actions EU FinTech Flooding Hong Kong International Harmonization IOSCO Liquidity Risk Management Rule Mary Jo White Proxy Voting Guidelines Singapore Strategic Enforcement Plan Whistleblower Protection Policies

The Financial Report, Volume 5, Number 18

The SEC recently adopted new rules that substantially amend Form ADV under the Investment Advisers Act of 1940, as amended (the Advisers Act). Although not as comprehensive as the Form ADV amendments adopted in 2011, the new...more

9/26/2016 - Basel Committee Capital Markets Union Central Counterparties China Corporate Bonds Disruptive Trading Practices EDGAR EU Form ADV Hong Kong Securities and Futures Commission (HKSFC) ISDA Japan Memorandum of Understanding Mortgage Lenders Separately Managed Accounts (SMA)

The Financial Report, Volume 5, Number 16 (Global)

Discussion and Analysis One of our lead articles discusses a research report indicating that SEC enforcement activity has slowed in 2016. According to the article, the SEC has brought nearly ten percent fewer...more

8/29/2016 - ASIC Bail-In Provisions Central Counterparties Chief Compliance Officers CMBS Consultation EDGAR Enforcement Actions Facebook Goldman Sachs Investment Adviser IOSCO ISDA Master Agreement Severance Agreements Severe Weather Stock Connect Strategic Enforcement Plan Supervision

The Financial Report, Volume 5, Number 15 (Global)

Discussion and Analysis - I’ve been glued to my TV and my computer watching the “Games of the Thirty-First Olympiad in Rio de Janeiro.” Although the coverage, of course, focuses substantially on US athletes, NBC and...more

8/12/2016 - Benchmarking Corporate Bonds Debt Collection Enforcement Actions Financial Crimes FinTech G-SII G20 Insider Trading IOSCO Pensions Remuneration Stress Tests

The Financial Report, Volume 5, Number 14

Discussion and Analysis - As an increasing number of investment management firms experience financial distress, we often are asked whether there are any minimum capital requirements imposed on investment advisers....more

8/8/2016 - Basel III BRRD Business Continuity Plans C&DIs Canada Community Reinvestment Act Dark Pool Enforcement Actions EU EU Market Abuse Regulation (EU MAR) Investment Advisers Act of 1940 ISDA Security-Based Swaps UK UK Brexit Whistleblower Protection Policies

The Financial Report, Volume 5, Number 13

On June 23, just hours after we published our last edition, the United Kingdom voted to exit the European Union. Brexit, as it has come to be known, immediately raised a number of issues of potentially enormous significance...more

7/18/2016 - Audits Australia Business Continuity Plans C&DIs Canada Consultation EU Hong Kong Regulation S-X Resource Extraction Ring-Fencing SAR Singapore Smaller Reporting Companies Stress Tests UK UK Brexit

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 FinTech Innovation Interest Rates JOBS Act Liquidity Coverage Ratio Non-GAAP Financial Measures Prospectus Residual Interest Student Loans Trump Administration

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 EDGAR FFIEC FinTech Incentive Compensation ISDA Market Abuse Presidential Elections Regulation Technical Standards (RTS) Trump Administration

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

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