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Financial Services Quarterly Report - Third Quarter 2016: Managing the Compliance Aspects of Private Equity Investments

International business transactions can be subject to intense scrutiny due to the broad scope of the U.S. Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act, in addition to other similar anti-corruption measures...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CTFC Approves Proposed Rules Addressing Application of Certain CEA Regulations to Cross-Border Transactions - On October 11, 2016, the U.S. Commodity Futures Trading Commission...more

CTFC Approves Proposed Rules Addressing Application of Certain CEA Regulations to Cross-Border Transactions

On October 11, 2016, the U.S. Commodity Futures Trading Commission (“CFTC“) unanimously approved proposed rules relating to the application of certain swap provisions of the Commodity Exchange Act (CEA) and CTFC to...more

This Week in FCPA-Episode 27, the Walla Walla Edition [Video]

Show Notes for Episode 27, week ending October 21, 2016-the Walla Walla Edition 1. Lennox Industries self-reports a $425 bribe; 2. Another guilty plea in FIFA corruption scanda; 3. Public Citizen letter to DOJ/SEC re:...more

Update: EB-5 Regional Center Program Receives Short-Term Extension

On September 29, 2016, as part of recently enacted federal spending legislation, the EB-5 Regional Center Program received a short-term extension through December 9, 2016. The Program has been similarly extended, with no...more

Recognising foreign insolvency proceedings arising in jurisdictions other than the place of incorporation - A case study of Re...

The central question in the case of Re Opti-Medix Ltd (in liquidation) and another matter [2016] SGHC 108 (Opti-Medix) was whether insolvency proceedings in a jurisdiction other than the place of incorporation could be...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Central Bank Issues "Dear Chairman" Letter Regarding Directors' Time Commitments for Each Sub Fund - The Central Bank of Ireland issued a “Dear Chairman” letter on 8 September 2016, concerning its review of the number of...more

Financial Services Quarterly Report - Third Quarter 2016: Foreign Institutional Investors are Granted Unprecedented Access to...

A new program providing fund managers with access to China’s principal bond market officially opened for business in May 2016. The program – known as the China Interbank Bond Market (CIBM) program – greatly simplifies the...more

New UAE Mutual Funds Regulations Herald Critical Changes for Foreign Managers

The United Arab Emirates (the “UAE”) federal securities regulator, the Emirates Securities and Commodity Authority (the “SCA”), has issued extensive revisions to the UAE Mutual Funds Regulations 2012 (the “2012 Regulations”)...more

District Court Upholds Indictment of Turkish/Iranian Billionaire Charged with Evading US Economic Sanctions against Iran

U.S. District Court Judge Richard M. Berman denied a motion to dismiss the indictment in the closely followed criminal prosecution of Reza Zarrab, a Turkish/Iranian businessman charged with conspiring to evade U.S. economic...more

Fintech in Hong Kong: Where There’s a Will, There’s a Way, or Hong Kong’s Measures To Become the Fintech Capital of Asia

Hong Kong is putting substantial focus on financial technology, or fintech, to compete with Singapore and Tokyo as the fintech capital of Asia. In April 2015, the Hong Kong Government (the “Government”) established the...more

Compromise Proposal on the Regulation Amending EuVECA Regulation and EuSEF Regulation

On October 13 2016, the Presidency of the Council of European Union published a compromise proposal (13168/16) in relation to the proposed Regulation amending the European Venture Capital Funds Regulation (Regulation...more

Blog: The #AIFMD for non-EU Fund Managers: a brief update on the 3rd-country passport

Steven Maijoor, chair of the European Securities & Markets Authority (ESMA), has given a brief “update and next steps” report to the Economic and Monetary Affairs Committee of the European Parliament, about ESMA’s work on the...more

Implementing Regulations on its Credit Assessments of ECAIs under Solvency II and CRR Published in OJ

On October 12, 2016, the Commission Implementing Regulation (EU) 2016/1799 of October 7, 2016 laying down implementing technical standards (ITS) with regard to the mapping of credit assessments of external credit assessment...more

OFAC Provides Further Guidance On Iranian Sanctions

This month the U.S. Treasury Department’s Office of Foreign Assets Control (OFAC) updated its ‘Frequently Asked Questions Relating to the Lifting of Certain U.S. Sanctions Under the Joint Comprehensive Plan of Action (JCPOA)...more

China's New Foreign Investment Regime

Effective 1 October 2016, China replaced its approval regime for foreign investments with a filing regime, except where such investments fall within the Negative List. Approval vs. Filing - Since China first...more

Foreign Listed Stock Index Futures and Options Approval Chart October 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 2016. All prior versions are superseded and should be discarded. Please note the following developments...more

FCPA Compliance Report-Episode 287-the FCPA Mock Trial Institute [Video]

An increasing number of these cases will be litigated through discovery and trial. The Institute will focus on the unique evidentiary and trial challenges that the parties must negotiate to successfully litigate and try a...more

"Activist Investing in Europe: A Special Report (September 2016)"

This report offers an overview of the state of activism in Europe, as well as country-specific profiles for the United Kingdom, France, Germany, Italy and Switzerland, including information and commentary on noteworthy...more

Blog: Solvency II: EIOPA on regulatory certainty, and legislative review

Like most modern European Directives, Solvency II includes a structured review process to give the legislature an opportunity to (a) check the regime’s working properly; and (b) make adjustments, if it’s not. The...more

Financial Services Quarterly Report - Third Quarter 2016: The Shenzhen–Hong Kong Stock Connect

The official announcement of the launch of the long-awaited Shenzhen-Hong Kong Stock Connect was jointly made by the Securities and Futures Commission of Hong Kong (SFC) and the China Securities Regulatory Commission (CSRC)...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Exception from the License Requirement for Investment Intermediaries in the Future Only in Case of a First Public Offer of Investment Assets (Vermögensanlagen) - As of 31 December 2016, investment advisors and...more

The New EU Market Abuse Regulation: Impact on US Issuers

The rules under the new EU Market Abuse Regulation are in many ways similar to those under the now-repealed Market Abuse Directive. But U.S. issuers that have applied to have securities admitted to trading on EU regulated...more

Governance & Securities Law Focus: Europe Edition, October 2016

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

West Coast Real Estate Update: October 2016 #2

California Legislature Revises De Minimis Exemption of Finance Lenders Law - Real estate projects that utilize federal New Markets Tax Credit (NMTC) financing recently received a reprieve from a state licensing...more

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