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Saudi Arabian Capital Market Authority Confirms Direct Foreign Investment on Tadawul to Commence in June 2015

Regulator Breaks Silence on New Rules - 16 April 2015: The Saudi Arabian Capital Market Authority (CMA) announced today that the regulations governing foreign investment in shares listed on the Saudi Arabian stock...more

Relaxed Cuban Sanctions Change the Landscape of the Financial Services Industry

The Office of Foreign Assets Control (OFAC) published new federal regulations permitting certain types of previously prohibited transactions. Financial services organizations hoping to gain a foothold into the Cuban financial...more

The Passing of Günter Grass and Compliance Week 2015 Is Near

Günter Grass died this week. The contradictions that made up post-war Germany were wrapped up in him as well as any other single person I know anything about. He was a Nobel Prize winner for literature, who, it was revealed...more

Road Map to Europe – Executing Venture Capital Deals Easily in a Complicated Landscape

The number of European startups in search of funding and full of ambition to compete on the global stage has never been greater. U.S.-based venture capital funds are in prime position to take advantage of the opportunity of...more

SEC Looks to Increase Focus on Enforcement of FCPA Accounting Provisions

Government enforcement of the Foreign Corrupt Practices Act (FCPA) typically involves both criminal charges pursued by the Department of Justice (DOJ), and civil charges from the Securities and Exchange Commission (SEC). Last...more

Battle of the Forms in the European Private Placement Market: An Analysis and Comparison of the New LMA Private Placement...

1. Introduction - Over the last few years, there have been ongoing discussions and a series of initiatives aimed at developing a “Pan-European Private Placement Market” (PEPP Market) for private placement transactions...more

"Facilitation": A New Tool for Extraterritorial Sanctions Enforcement?

Recent OFAC and DOJ actions have focused on certain entities – overseas financial institutions – and particular conduct – US dollar clearing and associated “stripping.” The DOJ’s recent $232 million settlement and negotiated...more

SAFE Further Relaxes Control of FIE’s Foreign Exchange Registered Capital Settlement

The State Administration of Foreign Exchange (SAFE) issued the Notice of the State Administration of Foreign Exchange Regarding the Reform of the Administration of Foreign Exchange Registered Capital Settlement1 for...more

Full Steam Ahead for the Through-Train – The Shanghai-Hong Kong Stock Connect, Part One

The Shanghai-Hong Kong Stock Connect (the “Stock Connect”), a pilot program for establishing mutual stock market access between Mainland China and Hong Kong, was announced in April 2014 by Premier Li Keqiang at the Boao Forum...more

Financial Services Weekly News Roundup - April 2015 #3

DOL Fiduciary Standard Proposal. The Department of Labor issued a notice of proposed rulemaking including a definition of the term “fiduciary,” a conflict of interest rule for retirement investments, new exemptions and...more

Japanese Fund Regulatory Framework—2015 Amendment

On March 24, 2015, an amendment bill (“Amendment Bill”) to the Financial Instruments and Exchange Act of Japan (“FIEA”) was approved by the Cabinet and was submitted to the Diet for its consideration. The Amendment Bill...more

FCPA Compliance and Ethics Report-Episode 151-Glenn Lammi of the Washington Legal Foundation [Video]

In this episode I visit with Glenn Lammi of the Washington Legal Foundation who discusses the work of the WFL....more

A Borrower and a Lender Be: Irish Central Bank’s Loan Origination Fund Rules

There has been an increasing focus within Europe on alternatives to bank-based credit. Loan origination funds, which look to source loan assets for their investment portfolio by directly originating loans (rather than...more

Financial Regulatory Developments Focus - April 2015 #2

In this issue: - US Federal Reserve Board Expands Applicability of Small Bank Holding Company Policy Statement - US Federal Reserve Board Requests Public Comment on Proposed Amendments to Regulation D -...more

Mexico’s Energy Revolution Series: A Liberalized Electricity Sector - April 2015

In This Issue: - Introduction - A Revamped Institutional Architecture - New Makeup of the Electricity Supply Chain .. Generation .. T&D Network .. Retailing - A note of...more

Sale of Online Insurance Products: AMF Releases Recommendations

On April 2, 2015, the Autorité des marchés financiers (AMF), the regulatory body responsible for enforcing the legislative framework applicable to the financial sector in Quebec, released a report entitled Internet Insurance...more

Lincoln Assassinated and HSBC’s Continued Self-Inflicted Woes

HSBC continues to stay in the news, unfortunately largely for the wrong reasons in the realm of anti-corruption, facilitating tax evasion and money laundering. In an article in the New York Times (NYT), entitled “HSBC Is...more

Orrick's Financial Industry Week in Review

Steps Towards a Capital Markets Union - The European Commission is consulting on a blueprint for creating a harmonized capital market across the EU, to facilitate capital raising in the EU while maintaining consumer and...more

Beneficial Ownership and AML, Sanctions and Anti-Corruption Compliance

Sometimes compliance realities outpace enforcement and regulatory requirements. When it comes to FinCEN’s proposal to implement a beneficial ownership rule for financial institutions, global financial institutions do not need...more

"What Every General Counsel Needs to Know to Comply With New Bureau of Economic Analysis Reporting Requirements"

In 1976, Congress passed legislation requiring the Bureau of Economic Analysis (BEA) of the U.S. Department of Commerce to collect information on investment flows between the United States and foreign countries. Subsequently...more

Recent Trends in Commercial Aircraft Finance

Since the financial crisis, the aviation finance market has been through much change with the initial heavy reliance on export credit financing from US Export-Import Bank (Ex Im Bank) and the other export credit agencies...more

ESMA to Centralize Instrument Reference and Trade Repositories Data

The European Securities and Markets Authority (“ESMA”) has launched two major projects at the request of a number of National Competent Authorities (“NCAs”): the Instrument Reference Data Project and the Trade Repositories...more

Steps Towards a Capital Markets Union

The European Commission is consulting on a blueprint for creating a harmonised capital market across the EU, to facilitate capital raising in the EU while maintaining consumer and investor protection by simplifying the...more

EBA’s Recommendations to Non-EU and Review of EU Supervisory Authorities

The European Banking Authority has published a recommendation setting out its opinion on the confidentiality regime of several non-EU supervisory authorities to facilitate their participation in supervisory colleges...more

International News: Focus on International Private Client

In This Issue: Features - ..The UK Response to BEPS and Hybrid Mismatches ..Parental Liability for French Subsidiaries ..The Evolving US-Cuba Trade Landscape ..Amendments to Taiwan Fair...more

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