Wesley Nissen

Wesley Nissen

DLA Piper

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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

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

The Financial Report - Volume 2, No. 20 • November 2013 (Global)

Discussion and Analysis - Clients and prospective clients often will ask us a series of questions: “Does my proposed activity violate a specific law or regulation?” “If so, what are the potential consequences to me of...more

11/8/2013 - Diversity Dodd-Frank Enforcement Investors Mary Jo White Risk Assessment SEC Swaps Volcker Rule Whistleblower Awards Whistleblowers

SEC issues guidance on supervisory liability of broker-dealer compliance and legal personnel

A difficult question continually faced by broker-dealer compliance and legal personnel is whether their roles and duties can lead to them being considered supervisors of business personnel, and thereby subject them to...more

11/1/2013 - Broker-Dealer Chief Compliance Officers Compliance Corporate Counsel Professional Liability SEC Supervisors

The Financial Report - Volume 2, No. 19. October 2013 (Global)

Discussion and Analysis - Most of us have seen those top-rated TV commercials for a wireless provider featuring a conservatively dressed man sitting at a little table with several children and asking them, “Is it...more

10/28/2013 - Canada China Compliance Disclosure Requirements DOJ EMIR Enforcement Enforcement Actions ESMA EU FCA Hong Kong JPMorgan Chase Oil & Gas SEC UK

The Financial Report - Volume 2, No. 17 • September 2013

Discussion and Analysis - Even some financial services industry professionals are confused. The 80-year-old prohibition on general solicitation ended on Monday of last week. This means it is now legal for companies to...more

9/30/2013 - Accredited Investors Advertising Board of Directors Canada CFTC China Disclosure Requirements Dodd-Frank Elder Abuse EU Executive Compensation General Solicitation Investors Japan JOBS Act OSC Pay Ratio SEC Title II

The Financial Report - Volume 2, No. 16 • September 12, 2013

Discussion and Analysis - No doubt about it. The machines have taken over. Wednesday’s issue of The Wall Street Journal reports that automakers are focusing their efforts on developing self-driving automobiles....more

9/13/2013 - Banks Basel III Canada CFTC China Derivatives EU FCA FINRA G20 Hedge Funds Motor Vehicles OSC Reverse Mergers SEC Shareholder Litigation Technology UK

The Financial Report - Volume 2, No. 15 • August 15, 2013

ESMA proposes delay in reporting date for exchange traded derivatives. The European Securities and Markets Authority has sent the European Commission its Final Report proposing an amendment to Article 5 of the Commission...more

8/16/2013 - Banks CFPB CFTC China Derivatives EMIR ESMA EU European Commission Exchange-Traded Products Foreign Banks IOSCO Proposed Amendments SEC

The Financial Report - Volume 2, No. 13 • July 18, 2013

Discussion and Analysis - The other day, I happened to see a television commercial for a casino based in Hammond, Indiana. The casino boasts about having the most slot machines in Chicagoland. My curiosity piqued, I...more

7/22/2013 - Banks CFTC China DOJ EU Foreign Banks Foreign Exchanges Hedge Funds New Regulations SEC

SEC lifts general solicitation ban, proposes changes to Reg D, approves “bad actor” rules

The US Securities and Exchange Commission has adopted much-anticipated amendments to its regulations on private offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended, that lift the more than...more

7/22/2013 - Advertising Bad Actors General Solicitation JOBS Act Marketing Private Placements Regulation D Rule 144A Rule 506 Offerings SEC Securities Act of 1933

The Financial Report - Volume 2, No. 12 • June 20, 2013

Discussion and Analysis - Earlier this week, US Securities and Exchange Commission Chairman Mary Jo White informed the SEC’s Enforcement Division staff that the SEC will begin requiring defendants to admit guilt in...more

6/21/2013 - Canada Canadian Securities Administration JOBS Act Mary Jo White Mutual Funds Neither Admit Nor Deny Settlements SEC

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