International Trade Business Organization Securities

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SEC – A Computer and Twenty-Seven Minutes To Profit

The SEC’s latest stock manipulation case might be titled “How to make (almost) over $400,000 in just 27 minutes.” The key is to use Williams Act filings not to alert the market and issuer to a potential take-over but to fake...more

California Federal Court Holds That U.S. Securities Laws Do Not Apply to Unsponsored, Unlisted ADRs

The U.S. District Court for the Central District of California held on May 20, 2016 that the federal securities laws do not apply to U.S. transactions in unlisted, unsponsored American Depositary Receipts (ADRs) for a foreign...more

ISO 37001: A New Measuring Stick for Corporate Compliance Programs

The International Organization for Standardization is developing a certifiable international standard for “anti-bribery management systems” that could influence how the US Department of Justice, US Securities and Exchange...more

An Englishman’s Home is His Castle – Just!

Since the Land Registration Act 1925 the register of land in England and Wales has been interested only in legal title. All this is set to change. The Prime Minister announced on 12 May 2016 that any foreign company looking...more

Singapore Bond Market: Issuing Retail Bonds without a Prospectus

New regulations facilitate retail investor participation in the Singapore bond market. On May 19, the Monetary Authority of Singapore (MAS) promulgated two new regulations, effective immediately, to facilitate retail...more

The Financial Report, Volume 5, Number 10 - May 2016 (Global)

Two stories prominent in the financial media this week highlight the interesting policy challenges facing the nation’s lawmakers. On Monday, the so-called equity crowdfunding rules went into effect. The rules,...more

Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more

Blog: European Prospectus Regulation: Council publishes 4th Presidency Compromise text

The Council of the European Union has published the 4th Presidency Compromise version of the new Prospectus Regulation. The Prospectus Regulation will replace the Prospectus Directive (2003/71/EC), and the Directive...more

The Great Brexit Debate - Belgium - View from other parts of the World

What does the business community in Brussels think about the UK's EU referendum? Mixed feelings. One the one hand, many believe that the very idea of this referendum is a wake up call for Brussels bureaucracy and its...more

Broker, Compliance Officer Fined For AML Failures

Money laundering continues to be a key focus of regulators. Recently, for example, FINCEN Director Jennifer Shasky Calvery discussed money laundering through real estate transactions. Earlier this year the SEC brought an...more

SEC Charges State Street Employee For Fraudulent Fees

Transition Management is a service offered by securities professionals to pension funds and other investment managers who are changing fund managers, investment managers or making similar transitions and need to make...more

Attention Taxpayers: New IRS Rules May Deem Debt to Be Stock

In April, the IRS proposed rules that would treat debt between related corporations as stock for U.S. tax purposes. These rules would apply to all corporations (including regular C corporations, S corporations, foreign...more

Bridging the Week - May 2016 #3

Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach: Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures...more

Securitisation Disclosure Requirements: ESMA Clarifies Article 8b Expectations

The European Securities and Markets Authority (ESMA) has recently published a statement clarifying its position with respect to the application of the securitisation disclosure obligations provided for under article 8b of the...more

Corporate and Financial Weekly Digest - Volume XI, Issue 19

SEC/CORPORATE - SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants - On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more

China—Proposed Simplification Of Outbound Investments Rules

A recent consultation paper issued by the National Development and Reform Commission (NDRC) seeks to further relax current restrictions on Chinese outbound investments....more

US and EU reach an important agreement on CCP global equivalence: how will it affect you?

US Commodity Futures Trading Commission Chairman Timothy Massad and European Commissioner Jonathan Hill have agreed on a common approach to harmonizing transatlantic regulations regarding the central clearing of derivatives...more

Top Ten International Anti-Corruption Developments for April 2016

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

Trends In Accounting Class Action Filings

Last year the number of securities class actions filed with accounting allegations exceeded the average over the last ten years. Likewise, the number of accounting cases filed last year alleging internal control violations...more

Changes to the NBU anti-crises measures

As from 11 May 2016 the NBU Board Resolution No. 308 dated 5 May 2016 (the “Resolution”) takes effect. The Resolution amends the existing “anti-crisis” NBU Resolution No. 140 dated 3 March 2016 and abolishes a number of...more

Banking Disputes Quarterly - Q1 May 2016

Welcome to the Q1 2016 edition of our Banking Disputes Quarterly, designed to keep you up to date with the latest news and legal developments and to inform you about future developments that may affect your...more

Investing in renewable energy projects in Europe

Europe has seen a renewables surge in the last decade, with green power capacity doubling in the last five years alone. And this flood shows few signs of abating, with Europe1 set to welcome nearly 843 GW of additional...more

Market Abuse Regime: Overview for AIM companies

INTRODUCTION The Market Abuse Regulation ("MAR") introduces a new market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and generally will extend the...more

Market Abuse Regime: Overview for Offical List Companies

- INTRODUCTION The Market Abuse Regulation ("MAR") will replace the existing market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and generally...more

MiFID II: Access to EU Markets for Third Country Investment Firms

This note discusses the MiFID II regime for access by financial institutions located outside the EU to EU customers and markets. Full harmonisation of the access regime for third country firms has not been achieved. Instead...more

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