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TechConnect - Your Law Firm Link to Industry News - July 2016

Letter from the Editors - Dear Readers, One of the interesting facts that we have learned over the years is that there appears to be a correlation between the NASDAQ public market (which is heavily weighted with...more

ESMA Updates Q&A on Application of UCITS Directive

The European Securities and Markets Authority (ESMA) has published an updated version of its Q&A paper on the application of the Undertakings for Collective Investment in Transferable Securities (UCITS) Directive (2009/65/EC)...more

Don't Make Founders' Equity Even

Sometimes I think about replacing the table in my office with a sofa and a box of tissues. I’m a lawyer, but sometimes I feel like a therapist. When startup founders sit down with me to hash out equity splits and trust and...more

Late-Stage Private Placements: A Life Sciences Sector Survey

As privately held companies choose to remain private longer and defer their initial public offerings (IPOs), these companies are increasingly reliant on raising capital in successive private placements. New categories of...more

SEC Approves Nasdaq Rule Requiring Public Disclosure of Payments to Directors by Third Parties

In March 2016, the Nasdaq Stock Market LLC (“Nasdaq”) proposed new rules regarding disclosure of third-party compensation of directors. This third-party compensation, which may not be publicly disclosed, arises when a party...more

Supreme Court Rules that Citizenship of a Real Estate Investment Entity is Based on Citizenship of its Members, Which Includes...

On March 7, 2016, the U.S. Supreme Court (the “Supreme Court”) ruled that the citizenship of a Real Estate Investment Entity (“REIT”), for purposes of federal diversity jurisdiction, is based on the citizenship of its...more

Blog: Study Shows That Investment In Material Sustainability Issues Yields Higher Performance

With the SEC asking proactively in its concept release whether to mandate sustainability disclosure, the question of the relevance to investors of sustainability issues has assumed a new prominence. According to the SEC,...more

Governance & Securities Law Focus: Asia Edition, July 2016

In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see full...more

Blog: New Study Shows Inverse Correlation Between CEO Pay And Performance Over The Long Term

As reported in the WSJ, a new study from corporate-governance research firm MSCI showed that, over the long term, there was a signficant misalignment between CEO pay and stock-price performance. The study looked at CEO pay...more

What Is Good Corporate Governance? A Commonsense Approach

It seems to be a very simple question that does not always produce a clear-cut response. A group of high profile executives, including CEOs of major US corporations, tried to reach consensus on commonsense principles that are...more

Challenges for Investors in Dealing with Section 13(d) Filing Requirements

A significant challenge for institutional investors, such as private equity firms, investing in public companies is managing the disclosure hurdles of Section 13(d) of the Securities Exchange Act of 1934. That section was...more

Blog: CEO Group Offers List Of Commonsense Corporate Governance Principles

A group of CEOs of major public companies and institutional investors, including Jamie Dimon, Warren Buffett, Larry Fink, Mary Barra and Jeff Immelt, among others, have developed a list of “commonsense corporate governance...more

A Call to Action: Leading Executives Issue “Commonsense Principles of Corporate Governance”

Citing the importance of publicly owned companies to the U.S. economy, a group of thirteen leading executives issued a set of principles, on July 21, 2016, outlining their vision for the critical elements of good corporate...more

SEC Eases Regulatory Burden for Listing Actively Managed ETFs

The Securities and Exchange Commission took a step toward streamlining the approval process for actively managed ETFs last week by approving rule proposals from two securities exchanges....more

Proposed changes to the UK Limited Partnership Act 1907

On 23 July 2015, the UK Treasury published a consultation paper and draft Legislation Reform (Limited Partnership) Order 2015 setting out its proposed amendments to the Limited Partnership Act 1907 (LPA 1907). The...more

Bridging the Week - July 2016 #3

CME Group Proposes New Clearing Member Category to Help Customers Avoid Pro Rata Distribution Risk in Case of FCM Insolvency: CME Group filed proposed rule changes with the Commodity Futures Trading Commission that would...more

Two important Italian rulings on right to withdraw from securities transactions

Two recent rulings establish important principles relating to a retail investor’s right of withdrawal from a securities transaction. In both cases an investor was seeking nullity of a loss-making (for the investor)...more

SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review

On July 13, 2016, the Securities and Exchange Commission (the “SEC”) announced proposed amendments in order to update and simply its disclosure requirements. ...more

ThisWeek in FCPA-Episode 14, the Wolf of Wall Street Edition [Video]

In this episode, Jay Rosen and I talk about the SFO investigation into Unaoil, the forfeiture lawsuit filed in the 1MDB scandal, the possible JP MorganChase sons and daughters FCPA settlement, the new Standard Law School FCPA...more

Put a Fork in it: What’s Happening with the DAO?

If you have an interest in bitcoin, you’ve undoubtedly heard people refer to “The Blockchain.” Because the term “blockchain” can refer to any distributed ledger where “blocks” are added to the ledge by solving complex...more

This Week In Securities Litigation

Investment advisers were at the center of a number of actions brought by the Commission this week . Two proceedings involved a registered adviser and its COO that were involved in an unregistered and fraudulent offering; two...more

SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting

On July 13, 2016, the Securities and Exchange Commission adopted rules focused on greater transparency in security-based swap transactions, relying on mandates in the Dodd-Frank Wall Street Reform and Consumer Protection Act....more

SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review

On July 13, 2016, the Securities and Exchange Commission proposed amendments to various disclosure provisions in order to eliminate duplicative provisions and modernize the relevant requirements.   After the proposed...more

Why You Don't Need to Found Your Startup in Silicon Valley

Silicon Valley is the capital of venture capital and the acknowledged headquarters of disruptive ideas, fierce determination and hard work. That aura of potential casts a golden glow on the zillions of Bay Area startups...more

"EU Market Abuse Regulation — New Requirements for Issuers of Debt Securities Admitted to Trading in Europe"

On 3 July 2016, Regulation 596/2014 of the European Parliament and of the Council of the European Union (the Market Abuse Regulation) repealed and replaced Directive 2003/6/EC on Market Abuse (the Market Abuse Directive)....more

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