Business Organization Finance & Banking

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MEasure - Summer 2016

Brexit – Impact on Middle Eastern Issuers - Whilst the precise legal and regulatory impact that the UK’s recent decision to leave the European Union (EU), dubbed Brexit, will have on the corporate finance market will...more

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 enforcement...more

New International Entrepreneur Rule Revealed

Today, the U.S. Citizenship and Immigration Services (USCIS) announced it is proposing a new rule, which would allow certain international entrepreneurs to stay in the U.S. on a case-by-case basis, in order to start or grow...more

Immigration Relief for Foreign Entrepreneurs

On August 26, 2016, USCIS released the text of a proposed rule to be published in the Federal Register shortly, that provides temporary immigration relief to qualifying foreign entrepreneurs whose presence in the U.S. would...more

Corporate and Financial Weekly Digest - Volume XI, Issue 33

SEC/CORPORATE - SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K - On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the issues...more

Bridging the Week - August 2016 #4

Nonmember Banned From Trading All CME Group Products for 60 Days Without a Hearing for Alleged Suspicious Trading Activities: Andrey Sakharov, a nonmember, was summarily barred from trading any CME Group product for 60 days...more

International Consultation on Good Practices for the Termination of Investment Funds

The International Organization of Securities Commissions published a report outlining a proposed set of good practices on the voluntary termination of investment funds. The decision to terminate an investment fund can have a...more

SEC Adopts Amendments to Form ADV and Recordkeeping Rule

On August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted rules, proposed in May 2015, to modernize and enhance the disclosure requirements promulgated under the Investment Adviser Act of 1940, as amended...more

How to Use a Joint Venture to Spur Growth

We’ll never forget Don Vito Corleone’s chilling line: “I’m gonna make him an offer he can’t refuse.” Sure, it made for a good movie, but if you think business is about fighting off opposition at any expense, it’s time to turn...more

SEC Approves FINRA’s Capital Acquisition Broker Rules

While the new rules may provide a measure of relief to certain entities that engage in a limited subset of broker-dealer activities, significant compliance requirements continue to apply. On August 18, 2016, the U.S....more

Blog: SEC Requests Comment On Non-Financial/Non-Business Items In Reg S-K

The SEC has posted a request for comment on some of the Reg S-K disclosure requirements that were not specifically covered in the Reg S-K Concept Release, issued earlier this year (see this PubCo post), which assessed the Reg...more

Blog: New study examines benefits of enhanced audit report in the UK

In light of the closing of the comment period for the PCAOB reproposal of an expanded audit report standard (see this PubCo post and this PubCo post), including a requirement to disclose critical audit matters, it may be...more

What Makes A 401(k) Plan A Target For Litigation

I’ve always been a big fan of 1970’s cinema and one forgotten classic is The Sting, starring Paul Newman, Robert Redford, and Robert Shaw. The title to the movie refers to the exact moment when the con artist finishes the...more

Everything is Negotiable, including Personal Guarantees

As many entrepreneurs and small business owners know, banks, landlords and investors will often require a personal guarantee. A personal guarantee allows the lender to reach your personal assets to satisfy a debt in the event...more

Client Alert: New Safe Harbors for Management Contracts of Tax-Exempt Financed Facilities

The Internal Revenue Service on August 22, 2016 released Revenue Procedure 2016-44 which revises the safe harbor guidelines for management contracts of service providers for tax-exempt financed facilities, under which the...more

SEC Settles With 71 Municipal Issuers

The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed settled enforcement actions against firm’s representing 96% of the market...more

Maryland Tax Court Overturns Comptroller's Policy of Limiting Subtraction for Interest Received on Federal Obligations

The Maryland Tax Court recently ruled that a bank was entitled to deduct all of its interest received with respect to federal obligations for Maryland corporate income tax purposes, thereby generating net operating losses...more

Final EU Technical Standards on Business Reorganization Plan Requirements Following Bail-In

A Commission Delegated Regulation outlining the Regulatory Technical Standards on the elements of a business reorganization plan and the minimum contents for reporting progress in the implementation of the plan was published...more

IRS Issues New Management Contract Safe Harbors

Almost 20 years ago, the IRS released Rev. Proc. 97-13, outlining multiple safe harbors under which a management contract would not result in private business use of bond-financed proceeds. These safe harbors, while helpful,...more

SEC Charges Private Equity Advisers With Inadequate Disclosure

The Commission has brought a series of cases against private equity centered on undisclosed fees and conflicts of interest – key areas of interest during OCIE exams. The latest proceeding in this string of cases involves four...more

Singapore Legal Update - August 2016

MAS Proposes Enhancements to the Regulatory Requirements on Protection of Customer’s Moneys and Assets - The MAS Consultation Paper on Enhancements to the Regulatory Requirements on Protection of Customer’s Moneys and...more

Singapore Legal Update - July 2016

A Conditional Primary Obligation to Pay Is Not a Penalty - In iTronic Holdings Pte Ltd v Tan Swee Leon [2016] SGHC 77 (Singapore High Court, 21 April 2016), the Singapore High Court held that an obligation to pay a...more

UK Prudential Regulator Reminds CRR Firms about Management Body Diversity 

The UK Prudential Regulation Authority published an open letter to all firms subject to the Capital Requirements Regulation reminding firms of the requirement in the PRA Rulebook to have in place a policy promoting diversity...more

Bridging the Week - August 2016 #3

Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements: Health Net, Inc., a formerly publicly traded company whose securities were registered with the...more

GAO Issues Report on CFPB SBREFA Panels

The Government Accountability Office (GAO) has issued a report on the Consumer Financial Protection Bureau's (CFPB) use of Small Business Regulatory Enforcement Fairness Act (SBREFA) panels in its rulemaking process. The...more

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