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International Trade Securities Finance & Banking

Read need-to-know updates, commentary, and analysis on International Trade issues written by leading professionals.

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The City of Cincinnati is suing Harbour Portfolio Advisors—“one of the nation’s largest sellers of foreclosed homes”—for skipping out on housing code violations and for targeting buyers with “predatory and unconscionable”...more

Day 15 of One Month to 3rd Party Management-Third Party Management ROI [Video]

by Thomas Fox on

One area that has bedeviled Chief Compliance Officers (CCOs) and compliance practitioners is how to determine the return on investment (ROI) for your compliance program regarding third parties. While it is still clear that...more

Day 14 of One Month to Better 3rd Party Management-Third Party Program Check Up [Video]

by Thomas Fox on

When was the last time you gave your third party risk management program a check up?...more

Day 14 of 30 Days to a Better 3rd Party Management-Third Party Program Check Up [Video]

by Thomas Fox on

When was the last time you considered the health of your company’s third party management program? A good way to test that well-being is to perform a check-up on your third party program....more

Day 13 of One Month to Better 3rd Party Management-Internal Controls for Third Parties [Video]

by Thomas Fox on

Internal controls are a key tool to operationalize your third party risk management program. Initially, a compliance practitioner should perform an analysis of any third party representative to provide insight into the...more

Is the EU shifting the goal posts? European regulator plans review aimed at UK firms using outsourcing structures to respond to...

by Hogan Lovells on

In a speech that was ostensibly on the progress of the Capital Markets Union, Steven Maijoor, the Chair of the European Securities and Markets Authority ("ESMA") announced, that ESMA is planning possible measures to avoid a...more

Turning Tides

by DLA Piper on

Ukraine is typically seen as an emerging country, blighted by crisis. Ukrainians are all gradually helping to change this stereotype. Here we examine key legal reforms aimed at improving the efficiency and safety of...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

China’s infamous shadow banking industry—an $8.5 trillion marketplace that’s sprung up in reaction to the government’s “campaign against financial leverage”—is back and bigger than ever these days....more

Brexit Update: Issues for Structured Finance

by Latham & Watkins LLP on

On March 29, 2017, the United Kingdom (UK) delivered notice of its withdrawal from the European Union (EU), triggering the most comprehensive legislative review and revision ever to occur in the UK. This update discusses...more

FCPA Compliance Report-International Edition, the Prague Report [Video]

by Thomas Fox on

In this episode I am joined by Ruth Steinholtz of AretéWork, Jonathan Armstrong of Cordery Compliance and Kristy Grant-Hart of Spark Compliance Consulting and author of How To Be a Wildly Effective Compliance Officer for a...more

The Financial Report, Volume 6, Number 7

by DLA Piper on

Does it ever make sense to file something with the US government when it is not clear whether the filing is required, or what might need to be filed? Recently, the staff of the US SEC’s Division of Investment Management...more

News Round Up - April 2017

by Morrison & Foerster LLP on

Momentum Builds in the U.S. IPO Market - Renaissance Capital reported a strong start to the year in its U.S. IPO Market 1Q 2017 Quarterly Review. The first quarter of 2017 saw 25 IPOs, which raised $9.9 billion, a jump...more

SEC Staff Relaxes Limitations under 1940 Act to Permit Certain Global “Master-Feeder” Arrangements, Although Obstacles Remain

by Dechert LLP on

The Staff of the U.S. Securities and Exchange Commission (SEC) on March 8, 2017 issued a no-action letter (Staff Letter) in response to a request from Dechert LLP for assurance under Section 12(d)(1) of the Investment Company...more

FCPA Compliance Report-Episode 323-Bill Coffin on Compliance Week 2017 [Video]

by Thomas Fox on

In this episode Compliance Week Editor in Chief Bill Coffin discusses the upcoming Compliance Week 2017 Conference May 22-24, 2017 in Washington DC. Coffin highlights the key note speakers and some of the other key topics for...more

Day 12 of One Month to Better 3rd Party Management-Data Analytics and Ongoing Monitoring of Third Parties [Video]

by Thomas Fox on

Next I consider at how data analytics can be used to help detect or prevent bribery and corruption where the primary sales force used by a company is third parties. A clear majority of Foreign Corrupt Practices Act (FCPA)...more

Corporate and Financial Weekly Digest - Volume XII, Issue 14

SEC/CORPORATE - SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule - On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement...more

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

by Dechert LLP on

EMIR - European Securities Agencies Issue Statement on EMIR Variation Margin Rules, More Entities Exempt from EMIR and ESMA Re-Affirms Commitment to Co-Operate with Non-EU Regulators on CCPs - On 23 February, the...more

Day 11 of One Month to Better 3rd Party Management-Auditing Third Parties [Video]

by Thomas Fox on

Auditing of third parties is critical to any best practices compliance program and an important tool in operationalizing your compliance program. This is a key manner in which a company can manage the third party relationship...more

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

by Dechert LLP on

FCA Publishes Dealing Commission Review Findings - The FCA have published their findings from a review that analysed dealing commission expenditure across 31 investment managers. The policy statement on the use of...more

Private Equity and the New Trump Administration: Your Top Ten Questions Answered

by Foley & Lardner LLP on

The election of President Trump contained some positive signs for Private Equity (PE) fund managers. These included potential lower corporate taxes, a ten-percent tax holiday for funds parked overseas, large infrastructure...more

M&A Market Update

MergerMarket data shows that global deal activity in the first quarter of 2017 has so far remained resilient despite geopolitical uncertainty, with 3,554 deals worth $678.5 billion announced, representing an 8.9% increase in...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 3

SEC Rolls Out “POSITIER” - The SEC’s Office of the Investor Advocate used a recent March 9, 2017 open meeting and related “Evidence Summit” to announce its new investor research initiative, “POSITIER.”1 This new acronym...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - SEC Adopts Jobs Act Amendments - On April 5, the Securities and Exchange Commission ("SEC") announced that it has adopted amendments to increase the amount of money companies can...more

This Week in FCPA-Episode 48, CEOs Behaving Badly edition [Video]

by Thomas Fox on

In this episode, Matt Kelly pinch hits for a Walt Disney World-vacationing Jay Rosen. Matt and I have a wide-ranging discussion on some of the week’s top FCPA and compliance related stories. We discuss: 1. Shearman &...more

Day 10 of One Month to Better 3rd Party Management-Managing Your Third Parties [Video]

by Thomas Fox on

The building blocks of any Foreign Corrupt Practices Act (FCPA) anti-corruption compliance program lay the foundations for a best practices compliance program. For instance in the lifecycle management of third parties, most...more

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