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Finance & Banking Securities

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Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Fed’s Open Markets Committee will wrap up meetings tomorrow, and it’s expected [markets be ready] to avoid a rate hike but reveal the beginning of a measured shrinking of the Fed’s $4.2 trillion mortgage/Treasury bond...more

Day 12 of One Month of Innovation in Compliance-Real Time v. Right Time Monitoring

by Thomas Fox on

If it is not clear already this month, innovation does not simply come from a technical or even service perspective but can improve your compliance program from a wide variety of perspectives. We have considered a variety of...more

Compliance Man Goes Global-Episode 1

by Thomas Fox on

I welcome you to a new series entitled Compliance Man Goes Global podcast of Compliance Report-International Edition. I am joined by Tim Khasanov-Batirov, a compliance practitioner who focuses on high risk markets for 17...more

Industry Responds to CSA Guidance on Cryptocurrency Offerings

The rise in popularity of cryptocurrencies and the spread of cryptocurrency offerings have attracted increased attention from securities regulators in Canada and abroad. Recently, staff of the Canadian Securities...more

Snap Judgment: Unicorns Under Pressure and Addressing Risks of Private Lawsuits

The recent IPOs of Snap, Inc. and Blue Apron indicate that while the IPO pipeline continues to flow, there may be a cautionary tale for “unicorns” – venture-backed companies with estimated valuations in excess of $1 billion....more

SuperVision - Labor & Employment Law Insights - September 2017

...This issue of SuperVision is dedicated to questions our friends and clients may have regarding insurance and benefit topics. While not a common part of the Labor & Employment field, Spilman prides itself on having...more

CMA Investigates Asset Management Sector

by Dechert LLP on

Following the UK Financial Conduct Authority’s (FCA) final report on the asset management market study in June 2017, it has decided to make a Market Investigation Reference to the Competition and Markets Authority (CMA) on...more

One From The Heart

by Ary Rosenbaum on

The Dark Knight Rises is one of my favorite movies and one great scene at the end is when Catwoman tells Batman: “You don’t owe these people anymore. You’ve given them everything” and Batman says: “Not everything. Not...more

FCPA Compliance Report-Episode 349-Eisinger and Pelletier on The Chickenshit Club

by Thomas Fox on

In this episode I visit with Jesse Eisinger, author of The Chickenshit Club and Paul Pelletier, one of his key sources. ...more

IG Evaluates SEC’s Disclosure Review and Comment Process

The Office of the Inspector General has issued an evaluation of the Division of Corporation Finance’s disclosure review and comment process. The report begins with a description of the Division’s comment process. Perhaps the...more

SEC Issues New C&DIs on Regulation A

On September 14, 2017, the staff of the SEC’s Division of Corporation Finance (the “Staff”) issued three new compliance and disclosure interpretations (“C&DIs”) addressing Regulation A offerings with a concurrent Exchange Act...more

MSRB Addresses Selective Disclosure

On September 13, 2017, the Municipal Securities Rulemaking Board (the “MSRB”) published a market advisory on selective disclosure (the “Notice”). The stated purpose of the Notice is to “increase awareness” of selective...more

UK Regulator Examines Scope of Securities Laws, Warns of Initial Coin Offering Risks

by Jones Day on

The Situation: The UK Financial Conduct Authority has released a statement on initial coin offerings. It focuses the circumstances in which an ICO might fall within the scope of the FCA's current regulatory boundaries as well...more

A Conversation with the Division Director

At the September 15, 2017 meeting of the American Bar Association, the Director of the Division of the SEC’s Corporation Finance provided some comments regarding the Division’s work and priorities. Mr. Hinman reiterated the...more

OCIE Spots Issues and Alerts Registered Advisers on Most Frequent Advertising Compliance Problems

On September 14, 2017, the National Exam Program of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert outlining registered investment adviser compliance issues relating to Rule...more

Corporate and Financial Weekly Digest - Volume XII, Issue 35

SEC/CORPORATE - SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation - On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of...more

Summary of key EU and U.S. regulatory developments relating to securitization transactions

by Hogan Lovells on

Numerous regulatory developments were enacted or proposed in the United States and the European Union in response to the financial crisis. Although some of the proposed changes are still in the process of being adopted or...more

In Case You Missed It: Launch Links - September, 2017 #2

by WilmerHale on

Some interesting links we found across the web this week: How Pro Rata Works in Venture Capital Deals - VC’s suffer from FOMO just like the rest of us. ...more

Fintech Alert: Will Delaware or California Adjudicate a $1 Billion Commercial Contract Dispute Related to a Cryptocurrency?

by Blank Rome LLP on

Corporate Litigation - Action Item: As Jamie Dimon, the CEO at J.P. Morgan Chase, continues to criticize Bitcoin as a fraud, and the Securities and Exchange Commission warns of the potential dangers of investing in initial...more

If it bleeds, it leads. If it’s thrown out, forget about it.

by Ary Rosenbaum on

I serve as the attorney for a registered investment advisor out on Long Island and they forwarded me an email from a plan sponsor regarding a news article from last year of a potential class action lawsuit against a...more

Go West? What the NYSE Has to Offer for Gulf IPOs

by Bracewell LLP on

Saudi Aramco’s planned IPO has put the region’s companies in sharp focus for global investors. As GCC nations continue to experience shifts in economic activity, including less government spending, more companies (both state...more

This Week in FCPA-Episode 68, for the week ending September 15, the Ugly Win Edition

by Thomas Fox on

1. Equifax continues to be in the news. 2. Julie DiMauro interviews Philip Urofsky on the US commitment to enforcing the FCPA. 3. A new scorecard is out on the amounts of money paid as bribes by the Brazilian construction...more

Senior Managers and Certification Regime 2018 Extension: FCA Consults

by Morgan Lewis on

The Financial Conduct Authority has published a Consultation Paper containing its proposals to expand the Senior Managers and Certification Regime to all FSMA-authorised firms; the window for providing comments to the FCA...more

SEC Advisory Committee Meeting on Small and Emerging Companies

On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies held an open meeting to discuss the Sarbanes-Oxley (“SOX”) auditor attestation requirement, the final report that will be issued prior to the...more

Orrick's Financial Industry Week In Review

CFPB Issues Final Rule Temporarily Raising Reporting Threshold for Home Equity Loans Under Home Mortgage Act Rules - On August 24, 2017, the Consumer Financial Protection Bureau (the "CFPB") issued a new rule that amends...more

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