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Saudi Arabia Update - July 2015

Legal Developments - Ministry of Labor Study the Market Needs - Saudization is the colloquial term used to refer to Saudi Arabia’s official government policy of encouraging the employment of Saudi Arabian nationals...more

Financial Services Quarterly Report - Second Quarter 2015: OECD Discussion Draft on BEPS: Funds’ Treaty Access under Threat

The Organisation for Economic Co-operation and Development (OECD) published a revised discussion draft on 22 May 2015, in relation to Action 6 of the BEPS (Base Erosion and Profit Shifting) Action Plan (Action Plan 6), which...more

ESMA Publishes 17th Extract from EECS’ Enforcement Decisions

The European Securities and Markets Authority (ESMA) has published extracts from the European Enforcers Coordination Sessions confidential database of enforcement decisions on financial statements. European Enforcers monitor...more

Orrick's Financial Industry Week in Review

The Restructuring Mid-Summer Review: Europe and the Emerging Markets - For those focused on the debt restructuring market, the Greek sovereign crisis (covered extensively in our recent updates1) has drowned out news of...more

FCPA Compliance and Ethics Report-Episode 181-Gar Hurst on Using Social Media Tools In Your Compliance Program [Video]

In this episode I visit with Gar Hurst, a partner at Givens and Johnston, an import/export compliance firm. He and his firm have developed a SW app, which capitalizes on social media concepts to assist his clients in import...more

Unpacking the Australian OTC Derivative Reporting Regime

The Australian government has released draft regulations implementing a single sided exemption from the trade reporting regime for over-the-counter (OTC) derivatives. Consultation on the regulations closed in late June and...more

Corporate & Financial Weekly Digest - Volume X, Issue 28

CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers - On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing...more

This Week In Securities Litigation

The SEC filed three actions following-up on its settled proceeding against Oppenheimer for selling millions of shares of unregistered penny stocks. Each individual settled with the agency. In addition, the Commission brought...more

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

Suspension from Trading of Certain Financial Instruments Apropos Greece - Following a decision of the Hellenic Capital Market Commission (HCMC), the competent authority of Greece, to suspend the trading of certain...more

Financial Services Quarterly Report - Second Quarter 2015: Luxembourg CSSF Issues Circular on Information to be Submitted in...

The Luxembourg supervisory authority, the Commission de Surveillance du Secteur Financier (CSSF), issued on 5 May 2015 circular 15/612 (Circular) regarding the information to be submitted to the CSSF by alternative investment...more

The Restructuring Mid-Summer Review: Europe and the Emerging Markets

For those focused on the debt restructuring market, the Greek sovereign crisis (covered extensively in our recent updates) has drowned out news of other debt restructuring matters this year. Our Alert below addresses key...more

U.S. Capital Markets Regulation and Practices: An Overview for Non-U.S. Companies

Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars, for companies located outside the United States. For non-U.S. companies (which we refer to in this...more

Irish UCITS and AIFs Permitted to Invest via Stock Connect

The Central Bank of Ireland (“CBI”) issued an update to its Q&A documents on 15 July 2015 for both UCITS and AIFMD FAQ (“Q&A”) which clarifies how Irish funds can invest in Chinese shares via the Shanghai-Hong Kong Stock...more

FCPA Compliance and Ethics Report-Episode 180-Introducing the FCPA Master Class Training [Video]

In this episode I discuss my new service offering, the FCPA Master Class training. This training will be the premier nuts and bolts training on how to create, implement or enhance a best practices compliance program. ...more

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

Central Bank Update Concerning Fund Management Company Boards The Central Bank has published a document in relation to Fund Management Company Boards including a feedback statement on CP86 and a new consultation on...more

Blog: Does Auditor Rotation Impair Professional Skepticism?

CFO.com is reporting on a study published in a leading accounting journal The Accounting Review (payment required) that reaches the counter-intuitive conclusion that auditor rotation actually impairs professional skepticism....more

ISDA Publishes EMIR Classification Letter

On July 13, the International Swaps and Derivatives Association, Inc. (ISDA) published the ISDA EMIR Classification Letter (the Classification Letter), a form of letter that may be used by market participants managing their...more

FCPA Compliance and Ethics Report-Episode 179-Tim Peterson on the FIFA Bribery Scandal and the SEC Investigation [Video]

In this episode I visit with Tim Peterson, a partner at McGonigle and Murphy on the burgeoning FIFA bribery scandal, the recent announcement that the SEC is investigating US companies involved with FIFA and the reasons folks...more

Shadow Banking Remains on Regulatory Radar

The Financial Policy Committee (FPC) of the Bank of England (BoE) has recently published its latest Financial Stability Report (Report). The format of the Report is that the FPC assesses the outlook for financial stability by...more

Private Equity Newsletter - Summer 2015 Edition: Where’s the Exit? New Opportunities in China for Private Equity Firms

It has long been a well established exit route in developed markets for a private equity firm to sell its interest in a portfolio company to a listed company in exchange for shares in that listed company. Until recently, this...more

Belgian FSMA Consultation On Marketing Materials For Financial Products Distributed To Non-Professional Clients – July 2015 Update

The Belgian FSMA has launched a consultation on the new rules on marketing materials for financial products distributed to retail clients, introduced by the Transversal Royal Decree....more

ESMA Publishes Final Report on Draft Rules Under MiFID II

On June 29, the European Securities and Markets Authority (ESMA) published its final report (Report) on draft rules (both draft implementing technical standards (ITS) and draft regulatory technical standards (RTS)) relating...more

FCPA Compliance and Ethics Report-Episode 178-Ben Locwin on Risk Assessments [Video]

In this episode I visit with Ben Locwin, about his thought leadership around risk assessments. Ben has written extensively on the quantitative nature of risk assessments and various type of risk assessments. ...more

Financial Services Weekly News Roundup - July 2015 #3

Regulatory Developments - CFPB Outlines Guiding Principles for Faster Payment Networks: On July 9, the CFPB released an outline of its guiding Consumer Protection Principles (Principles) for protecting consumers as...more

CFTC Issues Proposed Rules on Cross-Border Uncleared Swap Margin Requirements

The CFTC has combined an entity-level approach with a transaction-level approach in its proposed cross-border uncleared swap margin requirements. Introduction - On October 3, 2014, the Commodity Futures Trading...more

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