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SEC Charges Private Fund Administrator with “Gatekeeper Failures”

Add fund administrators to the list of service providers the SEC expects to act as “gatekeepers.” In two separate settled actions last week, the SEC found that a private fund administrator “caused” the managers’ unregistered...more

Financial Services Weekly News - June 2016 #4

Regulatory Developments - SEC Issues Order Approving Inflation Adjustments to “Qualified Client” Dollar Thresholds for Investment Adviser Performance Fee Rule - On June 14, the SEC issued an order approving...more

Delaware Bankruptcy Court: provision granting creditor veto over debtor’s decision to file bankruptcy violates federal public...

In a case of first impression, DLA Piper argued before the US Bankruptcy Court for the District of Delaware that a consent provision in a Delaware LLC operating agreement effectively granting a creditor a veto right over a...more

Flip Transactions: Taking your Startup from Europe to the U.S.

Considering moving your startup from Europe to the United States? A “flip” into a U.S. corporate legal structure may be best for the long-term growth of your business. Foreign technology startups seek to reorganize in the...more

Compliance into the Weeds-Episode 9-the COSO ERM Framework  [Video]

In this episode Matt Kelly and I go deep into the weeds to being our discussion of the new COSO Enterprise Risk Management Framework. ...more

SEC Non-GAAP Guidance: Impact on Earnings Releases, SEC Reports and Other Disclosures

As discussed in our recent client alert “SEC Issues Important Non-GAAP Interpretations” (May 19, 2016), the SEC recently released a series of new C&DIs on the use of non-GAAP financial measures by reporting companies and new...more

SBA Reminds SBICs to Submit Their 2016 Annual Recertification

On June 2, the U.S. Small Business Administration (SBA) distributed a memorandum from Steve Knott, acting director of the SBA’s Office of SBIC Operations, reminding private funds licensed by the SBA as small business...more

UK Bribery Act – 5 lessons in 5 years: No 2 – Unheard Voices

The corporate bribery offence has brought in a new age of enforcement, but at what cost to individuals who may be implicated? In the last few weeks of 2015, the enforcement landscape for corporate entities carrying on...more

The Financial Report - Volume 5, No. 11 • June 2016 (Global)

Discussion and Analysis - A few years ago, David Blass, then Chief Counsel of the SEC’s Division of Trading and Markets, created a stir when he said in a speech that private fund advisers should be concerned about some...more

Financial Regulatory Developments Focus - June 2016

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

CFTC Issues Final Rules Regarding the Cross-Border Application of its Uncleared Swaps Margin Requirements - June 2016

On May 24, 2016, the Commodity Futures Trading Commission (“CFTC”) in a much anticipated action approved the issuance of final rules (“Final Rules”) regarding the cross-border application of its uncleared swaps margin...more

Delaware Court Voids LLC Agreement Provision Giving Creditor Veto Over Bankruptcy

A Delaware bankruptcy court has joined what appears to be a recent trend toward invalidating limited liability company operating agreement provisions that effectively afford lenders veto power over the LLC’s authority to file...more

The Panama Papers and Shell Games – Part II

Today I conclude my exploration of some of the issues raised by Ryan Hubbs, a senior manager of fraud investigation and dispute services at Ernst & Young LLP (EY), in the 2014 Fraud Magazine article, entitled “Shell Games”....more

Amendments to the Companies (Winding Up and Miscellaneous Provisions) Ordinance – A Missed Opportunity?

On 3 June 2016, the Hong Kong Government gazetted the Companies (Winding Up and Miscellaneous Provisions) (Amendment) Ordinance 2016 (“Amendment Ordinance”). The date of commencement of the Amendment Ordinance will be...more

FINRA Proposes Initial Round of Amendments to Communications Rules

In May 2016, FINRA filed with the SEC proposed revisions to its communications rules that include a few substantive revisions to existing rules, ease some burdensome filing requirements, and leave the door open for future...more

The Panama Papers and Shell Games, Part I

One of the more prescient authors I know is Ryan C. Hubbs, a senior manager of fraud investigation and dispute services at Ernst & Young LLP (EY), who, in 2014, wrote an article for Fraud Magazine entitled “Shell Games”. In...more

Do You Know What’s In Your Portfolio Company’s D&O Insurance?

When a venture capital or private equity firm invests in a portfolio company (PC) and places a general partner on the PC’s board, they typically require that the PC agree to defend and indemnify the board member in any...more

Bachmanity – From Sizzle to Fizzle and Maybe Bachruptcy (Silicon Valley – Episode 24)

At its heart, Episode 24 was about relationships – from the wayward dating lives of Richard and Dinesh to Big Head and Ehrlich’s marriage of “Bachmanity”, the Pied Piper entourage found themselves faced with the messy...more

Business Investment in China: Where Is the Money?

Thanks to its strategic location, vibrant entrepreneurial spirit, business environment and the wildly popular movie Beijing Meets Seattle , the Puget Sound area has quickly become one of the most popular destinations for...more

Business Litigation Alert: "The Panama Papers: Implications for Business"

The recent press around the "Panama Papers" leads to some serious considerations for businesses that engage outside counsel. As many of you know, the story centers on the leak of 11.5 million internal documents from the...more

MJW to FSOC:  We’re On It

In a keynote address before the Investment Company Institute on May 20, 2016, SEC Chair Mary Jo White signaled to the Financial Stability Oversight Counsel (FSOC) that the SEC is “working hard” to finalize rules that address...more

General Solicitation under Rule 506(b) after Citizen VC: Part 2

Should it Matter Who Makes the Solicitation? - Before Citizen VC, the pre-existing business relationship pathways of permissible general solicitation, despite the obvious benefits and advantages, were not widely traveled...more

Financial Regulatory Developments Focus - May 2016 #3

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

FCPA Compliance and Ethics Report-Episode 256-Alison Taylor on stakeholder trust as an integrity risk measure  [Video]

In this episode, I visit with Alison Taylor about measuring stakeholder trust as an indicia of your integrity risk. ...more

Second Circuit Overturns Fraud Judgment against Bank of America and Former Countrywide Executive

On May 23, 2016, a three-judge panel of the Second Circuit Court of Appeals overturned a judgment of fraud against Bank of America, Countrywide, and former Countrywide executive Rebecca Mairone in U.S. v Countrywide Home...more

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