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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

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

Ten Hallmarks of an Effective Compliance Program-Hallmark 2 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 2-Code of Conduct and Compliance Policies and...more

New Regulation issued governing non-Jordanian Investment

Regulation No. 77 of 2016 governing non-Jordanian Investment (the Regulation) has been published in the Official Gazette on 16/6/2016. The Regulation offers significant changes as compared with the old regulation, which...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 1 [Video]

In this series, I review the Ten Hallmarks of an Effective Compliance Program. This episode premiers Hallmark No. 1....more

After Adopting the “Fraud-on-the-Market” Presumption of Reliance, Australia is Poised to Become a Plaintiff-Friendly Venue

The United States is a popular location for securities class actions, due in large part to its reputation as a generally plaintiff-friendly system. A key contributor to that reputation is the acceptance of the...more

This Week In Securities Litigation

An investment banker who repeatedly tipped his father on about pending mergers was found guilty of insider trading by a jury this week. The Commission brought another action based on the whistleblower protections where the...more

Compliance into the Weeds-Episode 12-risk in a decentralized business model [Video]

In this episode, Matt Kelly and I go deep into the compliance weeds in our discussion of operational, compliance and regulatory risks in a decentralized business model....more

OSC addresses uncertainty on distributions outside Canada

On June 30, 2016, the Ontario Securities Commission (OSC) proposed a new “distributions out” regime that aims to clarify compliance requirements for Ontario issuers selling securities to investors outside Canada....more

Corporate and Financial Weekly Digest - Volume XI, Issue 31

BROKER-DEALER - FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule - On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-28,...more

The Financial Report, Volume 5, Number 15 (Global)

Discussion and Analysis - I’ve been glued to my TV and my computer watching the “Games of the Thirty-First Olympiad in Rio de Janeiro.” Although the coverage, of course, focuses substantially on US athletes, NBC and...more

The Financial Report, Volume 5, Number 14

Discussion and Analysis - As an increasing number of investment management firms experience financial distress, we often are asked whether there are any minimum capital requirements imposed on investment advisers....more

Russian Legislation Update: 9 May - 17 July 2016

Welcome to the most recent issue of our Russian Legislation Update, covering the period of 9 May - 17 July 2016. In this issue: - Civil relations - Currency Control - Anti-Money Laundering - Banking -...more

China Plans to Further Open Domestic Private Securities Investment Fund Management Business to Foreign-Owned Manager

On June 30, 2016, the Asset Management Association of China (“AMAC”) released the Q&A Regarding Registration and Filing of Private Funds (No. 10) (“Q&A No. 10”), which confirmed that both wholly foreign-owned and...more

SEC Adopts Payment Disclosure Rules for Companies Engaged in Resource Extraction

The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules which require “resource extraction issuers” to disclose annually the type and amount of payments that they (or their subsidiaries or entities under...more

Puerto Rico's Act 20 and Act 22 – key tax benefits

In the midst of a complicated fiscal situation, Puerto Rico continues to attract investors and companies through two extant tax incentive packages: Puerto Rico’s Act 20 – the Promotion of Export Services Act –  and Act 22 –...more

SEC Adopts Payment Disclosure Rules for Resource Extraction Issuers

On June 27, 2016, the U.S. Securities and Exchange Commission (“SEC”) adopted Rule 13q-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and amendments to Form SD (Specialized Disclosure Report) (See SEC...more

Corporate and Financial Weekly Digest - Volume XI, Issue 29

BROKER-DEALER - Proposed FINRA Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility - The Financial Industry Regulatory Authority is filing a proposed rule...more

Development of the practice on assessing of withholding tax on interest income (coupon yield) payable by a Russian company for...

On 29 June 2016 the Commercial Court of Moscow rendered a decision in the case No. ?40-178650/15-75-1487 under the application of Gazprombank JSC (the “Bank”). The decision contains a number of findings that in future may be...more

Masala bonds - A taste of things to come?

Borrowing by Indian companies from the overseas market or 'External Commercial Borrowings' (commonly referred to as ECBs), is regulated by the Reserve Bank of India (RBI) and is governed by the various rules specified by the...more

Brexit: Potential regulatory and transactional impacts for financial institutions

This paper considers the key potential regulatory and transactional consequences for financial institutions of the UK's referendum vote on 23 June 2016 to leave the EU. The future relationship between the UK and the EU is...more

Brexit and financial markets

On 23 June 2016, the UK electorate voted to leave the European Union in a so-called Brexit referendum. This historic decision raises significant challenges and potential opportunities for financial services activity within...more

Brexit: Property investment commentary

Does the fall in sterling present enhanced property investment opportunities for overseas investors? In short the answer is likely to be yes for those investors dealing in currencies that have strengthened against the...more

Unfair and Unbalanced-Episode 9, the US Open Edition [Video]

In this episode, Roy Snell and I continue our exploration of issues related to the compliance profession. ...more

Brexit: Key issues for corporate transactions and corporate law

M&A transactions in respect of UK corporates are most likely to be affected by the attractiveness of the UK as a post-Brexit investment location....more

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