Edward Johnsen

Edward Johnsen

DLA Piper

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The Financial Report - Volume 3, No. 22 • December 11, 2014 (Global)

Discussion and Analysis - Earlier this week, The Wall Street Journal published a special Journal Report entitled “CEO Council.” The tag line for the report ominously states: “At the annual meeting of The Wall Street...more

12/14/2014 - EU Financial Markets Legislative Agendas Regulatory Agenda

Second Circuit clarifies law of insider trading in reversing convictions of remote tippees

In a significant decision, the Second Circuit has reversed criminal convictions for insider trading and conspiracy to commit insider trading in an appeal following a six-week jury trial in a closely-watched prosecution...more

12/12/2014 - Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Portfolio Managers Rule 10(b) Rule 10b-5 SEC Securities Securities Fraud US v Newman White Collar Crimes

The Financial Report - Volume 3, No. 21 • November 2014 (Global)

Criminal securities fraud charges filed against Bitcoin operator. US federal prosecutors filed the first criminal securities fraud charges involving a virtual currency. Trendon Shavers, who founded Bitcoin Savings and...more

11/18/2014 - Asia Pacific Bitcoin CFTC Criminal Prosecution Crowdfunding Election Results Enforcement Actions ESMA EU European Banking Authority High Frequency Trading Risk Retention SEC U.S. Treasury

The Financial Report - Volume 3, No. 20 • October 16, 2014 (Global)

Compliance template for Exchange Act Rule 17a-5(f)(2). The Financial Industry Regulatory Authority has made available a new template and guidance for members electronically filing the statement required by Securities...more

10/17/2014 - ASIC Banks Basel Committee Canadian Securities Administration CFTC ESMA European Banking Authority Federal Reserve Financial Conduct Authority Financial Markets Hong Kong IOSCO Prudential Regulation Authority REITS SEC Singapore U.S. Treasury

The Financial Report - Volume 3, No. 19 • October 2014 (Global)

News from the Americas - Securities enforcement by state regulators. The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of...more

10/6/2014 - ASIC CFTC Compliance Dodd-Frank EMIR Enforcement Enforcement Actions ESMA EU Financial Regulatory Reform Fraud Insider Trading JOBS Act NASAA SEC Securities Fraud Securities Litigation UK

The Financial Report, Volume 3, Number 18 (Global)

Discussion and Analysis - Last Tuesday, the United States District Court for the District of Columbia mostly upheld the Commodity Futures Trading Commission’s authority to regulate cross-border derivatives trading. The...more

9/23/2014 - Banks CFTC Compliance Cross-Border Derivatives Dodd-Frank Financial Regulatory Reform ISDA SEC SIFMA Swaps

The Financial Report - Volume 3, No. 17 • September 2014 (Global)

Discussion and Analysis - The Securities and Exchange Commission currently is reevaluating the definition of what constitutes an “accredited investor,” the standard for determining who is...more

9/5/2014

The Financial Report - Volume 3, No. 16 • August 21, 2014 (Global)

Discussion and Analysis - Recently, we’ve been thinking a lot about crowds. Most sources define the term “crowds” as a large group of people gathered closely together or with something in common. The Merriam-Webster...more

8/22/2014 - Audits Australia Broker-Dealer Crowdfunding Derivatives EU FDIC Federal Reserve Financial Conduct Authority Mutual Funds Redemption Gates RMBS SEC UK

The Financial Report - Volume 3, No. 15 • August 2014 (Global)

US Judicial Developments - Securities fraud litigation practices. The US Court of Appeals for the Ninth Circuit held that a party does not violate the automatic discovery stay found in the Private Securities Litigation...more

8/8/2014 - CFTC China Discovery DOJ EU Federal Reserve PLSRA SEC Self-Regulatory Organizations Subpoenas

The Financial Report - Volume 3, No. 14 • July 24, 2014 (Global)

Discussion and Analysis - Monday of this week was the fourth anniversary of the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Like all anniversaries, it is a time for looking back. As would...more

7/25/2014 - Audits Bank Holding Company Banking Sector Banks Canadian Securities Administration CFTC Derivatives Dodd-Frank EU European Banking Authority Federal Reserve Financial Institutions High Frequency Trading Hong Kong REIT Reporting Requirements SEC Shareholder Rights

The Financial Report - Volume 3, No. 13 • July 10, 2014 (Global)

Discussion and Analysis - On Tuesday of this week, The Wall Street Journal celebrated the 125th anniversary of the publication of its first edition. The last page of the special anniversary supplement to the July 8,...more

7/14/2014 - Canada CFTC EU Latin America OSC SEC U.S. Treasury

The Financial Report - Volume 3, No. 11 • June 5, 2014 (Global)

Discussion and Analysis - FINRA recently simplified two rules that are critical in the public offering process. FINRA’s Corporate Financing Rule generally regulates underwriting compensation and prohibits unfair...more

6/9/2014 - Anti-Money Laundering Asia Australia Canada Compliance Confidential Information Conflicts of Interest ETFs FINRA Hong Kong Public Offerings Securities SIFIs

The Financial Report - Volume 3, No. 10 • May 2014 (Global)

News from the Americas - High-speed trading. Bloomberg discussed US Senate Agriculture Committee hearings on high-speed trading. Former CFTC economist Andrei Kirilenko said that new books and records requirements and...more

5/16/2014 - Banks Books & Records CFTC Commodity Pool Compliance Conflict Mineral Rules CPO ESMA EU European Banking Authority FCA FDIC Federal Reserve FINRA FSOC High Frequency Trading Mandatory Clearing Requirements Recordkeeping Requirements SEC UK

The Financial Report Volume 3, No. 9 • May 2014 (Global)

Discussion and Analysis - Often, overwhelming public opinion is absolutely correct. This week’s news has been dominated by the NBA’s banning of LA Clippers owner Donald Sterling over the outrageous and inexcusable...more

5/6/2014 - Asia Canada CFTC Derivatives Electricity JOBS Act Metals OSC SEC UK

The Financial Report - Volume 3, No. 8 • April 2014 (Global)

Discussion and Analysis - According to various media sources summarizing the findings of a recently published “Progress Report,” as of April 1, 2014, of the 398 total rulemaking requirements under the Dodd-Frank Act,...more

4/22/2014 - Basel Committee Canada CCPs CFTC China Conflict Mineral Rules Dodd-Frank Enforcement Actions EU First Amendment Hedge Funds OSC Private Equity SEC

The Financial Report - Volume 3, No. 7 • April 2014 (Global)

News from the Americas - SEC Chair Discusses the Robust Use of Civil and Criminal Actions to Police the Markets. In a speech at the Securities Industry and Financial Markets Association Compliance & Legal Society Annual...more

4/4/2014

The Financial Report - Volume 3, No. 6 • March 2014 (Global)

Discussion and Analysis - For the past year or so, we have been discussing various forms of “crowdfunding” on these pages, especially “investment crowdfunding” -- the use of crowdfunding to raise capital for an...more

3/21/2014 - Banks CFTC Crowdfunding Funding JOBS Act SEC

The Financial Report - Volume 3, No. 5 • March 2014 (Global)

Discussion and Analysis - Last week, the Financial Industry Regulatory Authority issued one of its most important rule proposals in some time. Regulatory Notice 14-09 solicits comments on a proposed new regulatory...more

3/10/2014 - ASIC Banks CFTC China EU Federal Reserve FINRA Foreign Banks SEC UK

FINRA Proposes Significant Changes To Regulatory Regime For Limited Corporate Financing Brokers

The Financial Industry Regulatory Authority has issued Regulatory Notice 14-09 soliciting comments on a proposed new regulatory structure for firms that limit their activities to advising companies and private equity funds...more

2/28/2014 - Brokers Compliance Financial Regulatory Reform FINRA Restructuring SEC

The Financial Report - Volume 3, No. 4 • February 2014 (Global)

News from Asia and the Pacific - ASIC information sheet on whistleblowers. The Australian Securities & Investments Commission has released information about its approach to dealing with whistleblower reports. The...more

2/24/2014 - ASIC Australia Whistleblowers

The Financial Report - Volume 3, No. 3 • February 6, 2014 (Global)

Discussion and Analysis - On April 5, 2013, David W. Blass, Chief Counsel, Division of Trading Markets for the U.S. Securities and Exchange Commission, delivered a speech to the American Bar Association entitled “A Few...more

2/7/2014 - Banks CFTC Financial Regulatory Reform Private Funds SEC

The Financial Report - Volume 3, No. 2 • January 23, 2014 (Global)

IN THIS ISSUE: • Discussion and Analysis • News from the Americas • News from Asia and the Pacific • News from Europe • Global Regulators • US Securities and Exchange Commission...more

1/24/2014 - Australia Banks Bitcoins Board of Directors Canada CFTC China Collateralized Debt Obligations Diversity Dodd-Frank ESMA EU FDIC FINRA Foreign Exchanges OCR Proprietary Trading SEC Self-Regulatory Organizations Trust Preferred Securities Virtual Currency Volcker Rule

The Financial Report - Volume 3, No. 1 • January 2014 (Global)

Invariably, the end of a calendar year brings “year-in-review” retrospectives on topics both major and mundane. Similarly, the start of a new calendar year is always accompanied by predictions and forecasts for the ensuing 12...more

1/10/2014 - Banks CFTC Collateralized Debt Obligations Compliance Derivatives Dodd-Frank Enforcement Enforcement Actions Foreign Banks Fraud SEC Trust Preferred Securities U.S. Treasury Volcker Rule Whistleblower Awards Whistleblowers White Collar Crimes

The Financial Report - Volume 2, No. 21 • November 2013 (Global)

Discussion and Analysis - This week, the Oxford Dictionaries chose “selfie” as the word of the year. It beat out a number of other relatively new Internet and social-media related terms, including “bitcoin.” In...more

11/25/2013 - Accredited Investors Australian Securities and Investments Commission Bank of England Bitcoins Canada CFTC China CPO Dodd-Frank DOJ ESMA EU European Banking Authority Federal Reserve Financial Conduct Authority FINRA FSB Hong Kong OCC OTC Proxy Voting Guidelines SEC SEFs Swaps UK Virtual Currency Volcker Rule

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