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SEC Adopts Regulation A+: New Registration Option For Small and Mid-Sized Companies

The Securities and Exchange Commission adopted yesterday a new set of regulations entitled Regulation “A+,” designed to provide a more streamlined approach for small and mid-sized companies to offer securities to the public....more

Regulation A+: Final Rules Offer Important Capital Raising Alternatives

Overview - Yesterday, March 25, 2015, the Securities and Exchange Commission voted unanimously to adopt final rules to implement the rulemaking mandate of Title IV of the JOBS Act by adopting amendments to Regulation A....more

Promoting Capital Formation

Regulators and lawmakers in the US continue to review and consider measures that may promote capital formation for smaller and emerging companies. Although the number of initial public offerings (IPOs) in the US in 2014...more

Financial Services Weekly News Roundup - March 2015 #4

Focus on Fiduciary Standards. In February the President’s Council of Economic Advisers (CEA) issued a Report on the Effects of Conflicted Investment Advice on Retirement Savings. In its conclusion, the Report estimated the...more

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

SEC Approves FINRA Rule Regarding Investigation and Verification of Registration Applicants

After seeking comments last fall, the Securities and Exchange Commission (“SEC”) recently approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed rule governing member firms’ verification and investigation...more

Spring 2015 SBIC Debenture Coupon Rates Move Lower to 2.517% in Largest SBIC Offering

In March 2015, the SBIC Funding Corporation completed a pooling of SBA debentures in the amount of $1.16 billion, the largest pooling in the program’s 56-year history. The SBA debentures have a coupon rate of 2.517%. ...more

Series Seed is the new Series A; VC-backed company valuations continue to rise

PitchBook recently released its 1H 2015 VC Valuations and Trends Report that breaks down over 20,000 valuations of private company financings and exits over the past 10 years. The report shows continued increase in median...more

The FCPA Implications of China’s Plan to Consolidate State-Owned Enterprises

China’s recently announced plan to restructure and consolidate its state-owned enterprises (SOEs) focuses on bolstering the private sector of its economy and creating economies of scale to allow Chinese companies to better...more

The Financial Report - Volume 4, No. 6 • March 2015 (Global)

OSC Investor Advisory Panel annual report. The Ontario Securities Commission (OSC) Investor Advisory Panel submitted its 2013-14 annual report. The report summarizes the Panel’s current activities and priorities as well...more

Factors the SEC Considers When Deciding Whether to Grant a Waiver to a Statutory Disqualification

On March 12, 2015, SEC Chair Mary Jo White gave a speech at the Corporate Counsel Institute at Georgetown University that shed light on disqualifications, exemptions, and waivers under the federal securities laws. Most...more

Not All Investors Are Created Equal In The Eyes of the SEC: Why You Should Consider Only Accredited Investors in Your Startup

It is exciting to have people willing to invest money into your company. But before you sell any equity to friends, family or others, consider whether they are "accredited investors." ...more

Pre-Emption Group Makes Important Changes To Pre-Emption Principles

On 12 March 2015 the Pre-emption Group published a revised version of its Statement of Principles for Disapplying Pre-emption Rights (“Pre-emption Principles”). This update is the first new version of the Pre-emption...more

California Bar Committee Publishes Venture Capital Sample Opinion

The Opinions Committee of the Business Law Section of the California State Bar recently published a sample opinion for venture capital financing transactions. In a sad testament to the lowly status of the California General...more

China’s New Foreign Investment Guidance Catalogue

On March 10, 2015 the National Development and Reform Commission (NDRC) and Ministry of Commerce (MOFCOM) of the People’s Republic of China (PRC) jointly released a new Foreign Investment Guidance Catalogue, which will come...more

Overview of Anguillan Company Law

Although not normally regarded as being in the first tier of traditional offshore jurisdictions, 2015 is shaping up to be an exciting year for financial services in Anguilla (or “British Anguilla”, as it sometimes likes to...more

[Event] Protecting Your Company When Key Suppliers and Customers Enter Bankruptcy - Mar. 25, Palo Alto, CA

At this intimate roundtable discussion, our finance and bankruptcy experts will update you on recent supply chain developments and be available for your related questions....more

Investment Funds Update - Europe: Key legal and regulatory updates for the funds industry from the primary European asset...

Federal Ministry of Finance Guidance on Tax for Closed-Ended AIFs - The Federal Ministry of Finance has issued guidance on 12 February 2015 that broadens the favorable tax regime for investment partnerships applicable to...more

Webinar - Benchmarking Your Hotline in 2015: How Does Your Data Measure Up?

Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context? We’ve compiled...more

Hong Kong Regulatory Update - March 2015

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

Reps. Burgess, Blackburn and Welch Release Data Breach Bill

On Thursday, March 12, 2015, House Energy & Commerce Subcommittee on Commerce, Manufacturing, and Trade Chairman Michael Burgess (R-TX), along with Reps. Marsha Blackburn (R-TN) and Peter Welch (D-VT), released draft text of...more

Start-Up Pack (Belgium)

In This Issue: - Welcome - An introduction to key legal documents for start-ups - Glossary of useful venture capital and company terms - A step-by-step guide to setting up a company in Belgium - A shareholders’...more

How to Ensure Creditor Protection in Cyprus

This article outlines the many ways in which under Cypriot law businesses can protect their interests in their commercial dealings. Any creditor needs to ensure that he will receive payment for the sale of his goods or...more

Financial Services Weekly News Roundup - March 2015 #2

SEC Spotlight on Broker-Dealer Supervision of Outside Business Activities of Registered Representatives. In this issue we report on the SEC’s settled administrative proceedings against H.D. Vest Investment Securities,...more

In Case You Missed It - Interesting Items for Corporate Counsel - March 2015

It's difficult to discern “trends” from reactions to date on proxy access proposals, but here are some data points: Three companies, including two on the NY Comptroller’s 75-company target list have adopted...more

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