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Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future”...more

Bridging the Week - September 2016 #2

Just in Time for Football Season, CFTC Chairman Decides to Punt Swap De Minimis Threshold for One Year: Chairman Timothy Massad of the Commodity Futures Trading Commission announced his intention to recommend to his fellow...more

Brexit: A Financial Free Zone Within the City

The UK Government recently indicated that it intends to negotiate a unique EU-UK relationship post-Brexit. It is hoped that the arrangements will be appropriate for the UK and London’s position as a leading international...more

Financial Stability Board Reports on Implementation of Over-the-Counter Derivatives Reforms 

The Financial Stability Board published its eleventh progress report on the implementation of reforms by standard-setting bodies, national and regional authorities and market participants to the over-the-counter derivatives...more

This Week In Securities Litigation

The Commission prevailed in a jury trial this week against the City of Miami and its budget director in an action centered on three bond offerings. Cases brought by the agency this week also included: one against a firm and...more

Spoofing, Sports and the Panama Papers: BakerHostetler Offers Mid-Year Review of Cross-Border Government Investigations and...

Halfway through 2016, the international community has seen a staggering variety of cross-border investigations and enforcement actions. Brexit, the release of the Panama Papers, allegations of widespread sports doping and the...more

China: Deregulation of the Foreign Direct Investment Regulatory Regime

Changes would reduce costs and improve certainty and efficiency for many foreign-invested enterprises in China, and potentially spur further FDI. Amendment - On September 3, 2016, the National People’s Congress...more

New U.S. Transparency Reporting Requirements for Extractive Sector

On July 27, 2016, the U.S. Securities and Exchange Commission (SEC) adopted revised rules requiring resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural gas, or...more

Corporate governance: Tools for the job

Japan's corporate governance reforms hold promise of real change. Local and foreign observers have attributed the low "metabolism" of Japan's economy to the low productivity and comparatively low profitability of many...more

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred...more

In Case You Missed It: Launch Links - September, 2016

Some interesting links we found across the web this week: Will tech IPOs come back to life in the fall? 2016 has been the slowest year for IPOs since 2009, likely because of new issues raised by recent tech...more

Taking stock: Going public in volatile times

The third report in our Deal Dimensions series, written in collaboration with Mergermarket and launched today, reveals that a wave of IPOs could hit the global markets within the next 12 months. The study of senior executives...more

DHS Proposes Long-Awaited International Entrepreneur Rule

On August 26, 2016, the U.S. Department of Homeland Security (DHS) released advance notice of proposed rulemaking designed to encourage and facilitate entrepreneurship within the United States. The notice was published in the...more

The AIFMD Third Country Passport – An Update

The European Securities and Markets Authority published on 19 July 2016 its final advice to the European Commission on the extension of the marketing passport under the Alternative Investment Fund Managers Directive to 12...more

Top Ten International Anti-Corruption Developments for July 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

Investment Canada: Update from the Canadian Government on Foreign Investment Review

On August 4, 2016, the Director of Investments at Innovation, Science and Economic Development Canada (ISED) issued the Investment Canada Act Annual Report for 2015-16 (the Report). The Report provides an overview of how the...more

China-Hong Kong Connect - Part 6: Approval of Shenzhen-Hong Kong Train

In November 2014, the Shanghai-Hong Kong Stock Connect (the“Shanghai-Hong Kong Train”), a pilot program for establishing mutual stock market access between Mainland China and Hong Kong, was officially launched. The new...more

Anti-Corruption Laws and Other International Risks – What it Means for the Real Estate Industry and How to Protect Against Risks

Real estate investment involves many risks with which real estate investment managers are familiar. These range from “micro” risks, such as tenant disputes and defective property maintenance, to “macro risks” such as negative...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 7 [Video]

In this podcast, I discuss the most vexing problem of a best practices compliance program, managing third party risk. ...more

The Financial Report, Volume 5, Number 16 (Global)

Discussion and Analysis One of our lead articles discusses a research report indicating that SEC enforcement activity has slowed in 2016. According to the article, the SEC has brought nearly ten percent fewer enforcement...more

Corporate and Financial Weekly Digest - Volume XI, Issue 33

SEC/CORPORATE - SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K - On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the issues...more

Singapore Legal Update - July 2016

A Conditional Primary Obligation to Pay Is Not a Penalty - In iTronic Holdings Pte Ltd v Tan Swee Leon [2016] SGHC 77 (Singapore High Court, 21 April 2016), the Singapore High Court held that an obligation to pay a...more

Bridging the Week - August 2016 #3

Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements: Health Net, Inc., a formerly publicly traded company whose securities were registered with the...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 2 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 2-Code of Conduct and Compliance Policies and...more

New Regulation issued governing non-Jordanian Investment

Regulation No. 77 of 2016 governing non-Jordanian Investment (the Regulation) has been published in the Official Gazette on 16/6/2016. The Regulation offers significant changes as compared with the old regulation, which...more

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