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Orrick's Financial Industry Week in Review

Financial Industry Developments - CFTC Announces Measures to Enhance Protection of Customer Funds - On August 8, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced three separate enhancements...more

Indian Government Approves New India-Cyprus Tax Treaty

The Indian government approved a new India-Cyprus tax treaty on August 24, 2016 that will allow the Indian government to tax capital gains on investments routed through Cyprus. This is part of a continuing campaign by the...more

Your daily dose of financial news - The Brief – 8.26.16

Plaintiffs in the Forex MDL currently in NY federal court argued this week to Judge Lorna Schofield that the 2d Circuit’s recent ruling dismissing some plaintiffs in an aluminium price fixing suit did not apply to rob them of...more

Your daily dose of financial news - The Brief – 8.25.16

US regulators are “ramping up oversight” of Swift—the financial messaging system used throughout global finance that’s been a key conduit for hackers in recent attacks of Bangladeshi and Ecuadorian banks....more

Your daily dose of financial news - The Brief – 8.24.16

Apollo Global has settled its ongoing dispute with federal regulators, with the private equity firm agreeing to cough up $53 million to the SEC over an “array of [alleged] securities law violations”....more

FinCEN Expands Crackdown on Real Estate Buyers

Building on early successes, the Financial Crimes Enforcement Network (“FinCEN”) announced new rules targeting buyers of high-end real estate properties. Earlier this year, FinCEN adopted rules focusing on high-end...more

This Week in FCPA-Episode 18, the Olympics edition [Video]

Show notes for week ending August 19, 2016: 1. Key Energy FCPA enforcement action. 2. More Och-Ziff FCPA news as its “Fixer” is arrested for FCPA violations. 3. EU’s to Olympic committee arrested and charged with ticket...more

FCPA Compliance Report-Episode 274, Scott Lane on an holistic approach to third party management [Video]

In this episode, I visit with Red Flag Group CEO Scott Lane on a holistic approach to third-party risk management....more

FCPA Compliance Report-Episode 273 [Video]

In this episode, I visit with Marc Bohn, Counsel at Miller & Chevalier on the recent 11th circuit opinion limiting the SOL on profit disgorgement claims to 5 years and the IRS tax letter holding payments for profit...more

Your daily dose of financial news - The Brief – 8.19.16

The Journal reports that big companies [banks included] are pouring more into dividends than at “any time since the financial crisis”—likely, a response to record-low bond yields that’s “put a premium” on kicking back...more

EPA and NHTA Finalize Stringent Emission and Fuel Efficiency Standards

Yesterday, the U.S. Environmental Protection Agency (EPA) and the National Highway Traffic Safety Administration (NHTSA) finalized more stringent greenhouse gas (GHG) emission standards and fuel efficiency standards for...more

New York Appellate Court Reverse Lower Court, Allows RMBS Action to Proceed Against Morgan Stanley

On August 11, 2016, the First Department of the Appellate Division of the Supreme Court of the State of New York reversed the lower court, allowing RMBS Trustee U.S. Bank to proceed with claims against Morgan Stanley in...more

Proposed New Regulations on Arrangement and Promotion Activity in the UAE

In early August 2016, the UAE Securities & Commodities Authority (the SCA) issued draft new regulations (the Proposed Regulations) on arrangement and promotion activity in the UAE. Only an Arabic version of the Proposed...more

Orrick's Financial Industry Week in Review

Agencies Issue Proposal on Method to Adjust Threshold for Exempting Small Loans from Special Appraisal Requirements - On July 22, 2016, the Consumer Financial Protection Bureau, the Federal Reserve Board and the Office...more

Developments in Unitranche Financing (2016)

The increasing use of unitranche financing, both domestically and abroad, has created new opportunities for middle market loan participants. However, lenders must understand the legal issues and potential bankruptcy risks...more

MAS issues revised Guidelines on Outsourcing

Institutions will need to meet deadlines to conduct a self-assessment of existing outsourcing arrangements, rectify identified deficiencies, and put in place measures to mitigate interim risks where a deficiency is...more

Structured Thoughts: News for the financial services community, Volume 7, Issue 8

Brexit and Structured Products: A Framework for Considering Disclosures - The U.K.’s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured...more

This Week In Securities Litigation

The D.C. Circuit handed down the first circuit court decision ruling on the Appointments Clause question concerning the retention of SEC ALJs. The court concluded that there was no violation of the Clause....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

Will the Panama Papers Lead to Criminal Charges Against U.S. Taxpayers?

The International Consortium of Investigative Journalists (ICIJ), collaborating with German newspaper Süddeutsche Zeitung, in spring 2016 began leaking approximately 11 million internal documents obtained without permission...more

CRA Provides OTIP Update

The CRA’s Offshore Tax Informant Program (OTIP) was launched in January 2014. From the CRA’s webpage describing the program: Launched as part of the Canada Revenue Agency’s (CRA) efforts to fight international tax...more

Structuring Challenges in Leveraged Buyouts in Israel

How foreign private equity sponsors and their lenders are finding solutions to local law structuring issues - Leveraged finance acquisitions have existed in the Israeli market for many years. However, for a variety of...more

Translating the success of UK fintech measures to the US

The successful growth of fintech within a region depends on myriad factors, but an unquestionably material one is the regulatory environment. Regulatory regimes that foster innovation and exercise oversight in a purposeful,...more

"Prudential Regulators Extend Swaps Clearing Exemptions and Exceptions to Non-Cleared Swap Margin Requirements"

On August 2, 2016, federal banking regulators (Prudential Regulators) adopted a final rule (PR Margin Exemptions) implementing exemptions from the Prudential Regulators’ impending initial and variation margin requirements for...more

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