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Business Organization Finance & Banking Securities

Read Business Organization updates, alerts, news, and legal analysis from leading lawyers and law firms:

Draft Financial Choice Act 2.0 Prohibits Universal Proxy and Restricts Shareholder Proposals

The House Financial Services Committee has released a discussion draft of a revised Financial Choice Act. The Committee will hold a hearing on the Act on April 26, 2017....more

FINRA Solicits Comments on Rules Impacting Capital Formation and Proposed Changes to the Corporate Financing Rule

In what seems to be a bow to the Trump Administration, FINRA has issued Regulatory Notice 17-14 which broadly seeks comments on FINRA rules that impact capital formation. ...more

New Accounting Rules Regarding AUPs Taking Effect May 1, 2017:  More Fun for a Battered Industry

by Dechert LLP on

The Auditing Standards Board (the “ASB”) of the American Institute of Certified Public Accountants recently released new standards as part of the “Attestation Clarity Project” with the goal of redrafting all its standards “in...more

Day 15 of One Month to 3rd Party Management-Third Party Management ROI [Video]

by Thomas Fox on

One area that has bedeviled Chief Compliance Officers (CCOs) and compliance practitioners is how to determine the return on investment (ROI) for your compliance program regarding third parties. While it is still clear that...more

The SEC and the Conflict Minerals Rule: What You Need to Know about the Latest Developments

It is clear that Michael Piwowar, Acting Chairman of the Securities Exchange Commission (“SEC”) is not a fan of the conflict minerals rule. Earlier this month, the Acting Chairman and the Division of Corporation Finance...more

Future Uncertain After SEC Rejects Bitcoin ETFs

by Goodwin on

On March 10, 2017, the Securities and Exchange Commission (“SEC”) rejected the highly anticipated Winklevoss twins’ COIN bitcoin exchange traded fund (“ETF”), causing the digital currency to plummet 18% in value, to $978.76,...more

Regulation of Fintech in Canada

by Dentons on

This article provides Fintech startups and investors with an overview of the regulatory framework that applies to the Fintech industry and the issues that they need to be aware of as they navigate the shifting regulatory...more

Day 14 of One Month to Better 3rd Party Management-Third Party Program Check Up [Video]

by Thomas Fox on

When was the last time you gave your third party risk management program a check up?...more

Day 14 of 30 Days to a Better 3rd Party Management-Third Party Program Check Up [Video]

by Thomas Fox on

When was the last time you considered the health of your company’s third party management program? A good way to test that well-being is to perform a check-up on your third party program....more

Day 13 of One Month to Better 3rd Party Management-Internal Controls for Third Parties [Video]

by Thomas Fox on

Internal controls are a key tool to operationalize your third party risk management program. Initially, a compliance practitioner should perform an analysis of any third party representative to provide insight into the...more

SEC’s Investor Advisory Committee Airs Concerns Over Multi-Tiered Offerings Following Snap’s IPO

Snap Inc., which debuted on the New York Stock Exchange (NYSE) on March 2nd, was the largest tech IPO since Alibaba went public in 2014. Initially priced at $17 per share, the share price jumped to more than $24 by the end of...more

Turning Tides

by DLA Piper on

Ukraine is typically seen as an emerging country, blighted by crisis. Ukrainians are all gradually helping to change this stereotype. Here we examine key legal reforms aimed at improving the efficiency and safety of...more

Brexit Update: Issues for Structured Finance

by Latham & Watkins LLP on

On March 29, 2017, the United Kingdom (UK) delivered notice of its withdrawal from the European Union (EU), triggering the most comprehensive legislative review and revision ever to occur in the UK. This update discusses...more

FCPA Compliance Report-International Edition, the Prague Report [Video]

by Thomas Fox on

In this episode I am joined by Ruth Steinholtz of AretéWork, Jonathan Armstrong of Cordery Compliance and Kristy Grant-Hart of Spark Compliance Consulting and author of How To Be a Wildly Effective Compliance Officer for a...more

The Financial Report, Volume 6, Number 7

by DLA Piper on

Does it ever make sense to file something with the US government when it is not clear whether the filing is required, or what might need to be filed? Recently, the staff of the US SEC’s Division of Investment Management...more

News Round Up - April 2017

by Morrison & Foerster LLP on

Momentum Builds in the U.S. IPO Market - Renaissance Capital reported a strong start to the year in its U.S. IPO Market 1Q 2017 Quarterly Review. The first quarter of 2017 saw 25 IPOs, which raised $9.9 billion, a jump...more

A FinTech Reader - Popular on JD Supra

by JD Supra Perspectives on

Recap of popular FinTech reads recently published on JD Supra....more

Departing Federal Reserve Governor Tarullo Gives Speech Supporting Strong Capital Requirements and Criticizing the Volcker Rule

by Shearman & Sterling LLP on

Daniel Tarullo’s resignation from the US Federal Reserve Board became effective, and he was succeeded by Governor Powell as the Chairman of the Board of Governors’ Committee on Supervision and Regulation...more

Bridging the Week - April 2017 #3

Employees Criminally Charged With Theft of Trade Secrets From Two Financial Services Trading Firms: One former employee of Susquehanna International Group LP (“SIG”) and another from KCG Holdings, Inc. were criminally charged...more

FCPA Compliance Report-Episode 323-Bill Coffin on Compliance Week 2017 [Video]

by Thomas Fox on

In this episode Compliance Week Editor in Chief Bill Coffin discusses the upcoming Compliance Week 2017 Conference May 22-24, 2017 in Washington DC. Coffin highlights the key note speakers and some of the other key topics for...more

Day 12 of One Month to Better 3rd Party Management-Data Analytics and Ongoing Monitoring of Third Parties [Video]

by Thomas Fox on

Next I consider at how data analytics can be used to help detect or prevent bribery and corruption where the primary sales force used by a company is third parties. A clear majority of Foreign Corrupt Practices Act (FCPA)...more

Technical Amendments Under the JOBS Act Result in Changes to Cover Pages of Many Securities Act and Exchange Act Forms

by White & Case LLP on

On March 31, 2017, the Securities and Exchange Commission ("SEC") made a number of technical amendments to existing rules and certain Securities Act of 1933 ("Securities Act") and Securities Exchange Act of 1934 ("Exchange...more

A Trio of FINRA Notices Focused on Capital Formation Issues

by Morrison & Foerster LLP on

On April 12, 2017, FINRA released three regulatory notices for comment that propose amendments to various FINRA rules affecting capital formation. In connection with its release of the notices, FINRA President and CEO Robert...more

Corporate and Financial Weekly Digest - Volume XII, Issue 14

SEC/CORPORATE - SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule - On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement...more

Don’t Forget to Update the Covers of Your SEC Forms

On Wednesday, April 12, 2017, a final rule became effective that added two new “check box” items to the covers of Securities Act and Exchange Act forms relating to an issuer’s status as an emerging growth company (EGC)...more

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