Securities Law, International Law & Trade, Antitrust & Trade Regulation

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on 5/13/2013

Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

by Elan Mendel | Shipkevich PLLC on 5/6/2013

The Depository Trust & Clearing Corp. (DTCC) sued the Commodity Futures Trading Commission (CFTC) on Friday claiming that the derivatives regulator made “anti-competitive rules,” regarding swap trading data, that favor two...more

Credit Crunch Digest -- March 2013

by Jennifer Quinn Broda, Ryan Chapoteau, Matthew Ferguson, Todd McCormick, Thomas R. Orofino, Eric C. Scheiner | Sedgwick LLP on 4/2/2013

This issue of the Credit Crunch Digest focuses on developments in antitrust-based Libor claims against major banks; the status of European Union investigations into Libor manipulation; developments in IndyMac-related...more

February 2013: Libor Litigation Update

by Quinn Emanuel Urquhart & Sullivan, LLP on 2/18/2013

UBS and Barclays Acknowledge Making False Libor Submissions. Investigations into misconduct at UBS and Barclays have revealed pervasive corruption of the London Interbank Offered Rate (“Libor”), which provides a benchmark for...more

Merger Control in Africa

by Ali Boroumand, Melina Koubemba, Jean-François Mercadier | Heenan Blaikie LLP on 2/18/2013

Created in 1994, the Common Market for Eastern and Southern Africa (the “COMESA”) is an organisation currently comprised of 19 African countries which aim at promoting regional integration in Eastern and Southern Africa (the...more

Aquila: M&A Looking Up in 2013; "The Negatives Are Built In" [Video]

by Bloomberg Law on 2/15/2013

15 Feb. (Bloomberg Law) -- Frank Aquila, partner at Sullivan & Cromwell, talks with Bloomberg Law's Lee Pacchia about the prospects for mergers and acquisitions activity in 2013. Aquila notes that while 2012 was something of...more

Ticking Time Bomb: Private LIBOR Litigation

by Michael Volkov on 2/13/2013

One by one global banks are being ensnared in the LIBOR prosecution net. Late last year UBS, the Swiss banking giant, entered into a massive settlement in which it agreed to pay approximately $1.5 billion in fines and...more

Focus On Competition, Antitrust And Foreign Investment - January 2013: "Investment Canada And Competition Law – 2012 In Review and...

by Sharon Seung, Sandy Walker | Dentons on 2/1/2013

In This Issue: - Investment Canada ..State-Owned Enterprises Under Scrutiny - Competition Act ..Mergers ..Cartels And Bid-Rigging ..Price Maintenance ..Abuse Of Dominance ..Competition Bureau...more

Skadden's 2013 Insights: Global M&A

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2013

M&A activity in 2012 continued to be constrained by uncertain macroeconomic conditions, which have dampened dealmakers’ confidence. Although there were several bright spots in transactional activity, momentum was difficult to...more

Skadden's 2013 Insights: Global Litigation

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2013

New legal ground is expected to be broken this year in areas of importance to companies and their directors, officers and executives. We see those developments coming from around the globe and defining the litigation...more

Corporate and Financial Weekly Digest - December 14, 2012

by Katten Muchin Rosenman LLP on 12/17/2012

In this issue: - CFTC Issues No-Action Letters - SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives - Antitrust “Tying” Claims...more

Resource Guide to the U.S. Foreign Corrupt Practices Act (FCPA)

by JD Supra Law News on 11/14/2012

The definitive guide to complying with the Foreign Corrupt Practices Act, written by those in charge of enforcing it: The Securities and Exchange Commission and the Department of Justice. From the SEC website: "The guide...more

The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance

by Pepper Hamilton LLP on 11/13/2012

On August 22, the Securities and Exchange Commission (SEC) adopted a controversial and far-reaching rule laying out the obligations that publicly traded companies must meet under the "Conflict Minerals" provisions of the...more

When the CEO Says No to Compliance: FCPA Insights from Watergate's Egil "Bud" Krogh

by Matteson Ellis on 10/30/2012

A recent video posted by the Markkula Center of Applied Ethics highlights one of the most difficult ethical issues facing FCPA compliance officers – doing your job when the CEO does not want you to. To provide some guidance...more

CSRC Further Opens China’s Investment Banking Market – But Just a Little

by Morrison & Foerster LLP on 10/26/2012

The China Securities Regulatory Commission (“CSRC”) recently amended the Rules on the Establishment of Foreign-Invested Securities Companies (????????????; the “FISC Rules”) to raise the cap on the permissible foreign stake...more

Energy Newsletter - September 2012

by King & Spalding on 9/1/2012

In This Issue: - REGULATORY: - Environmental: EPA’s Rules Affecting the U.S. Power Sector; Taking On EPA’s Rules Effectively Banning New Coal-Fired Generation - EU Competition Law: Czech Energy...more

Corporate and Financial Weekly Digest - July 20, 2012

by Katten Muchin Rosenman LLP on 7/20/2012

In this issue: - SEC Issues Cautionary Staff Report On IFRS - FSOC Designates Eight Systemically Significant Financial Market Utilities - CFTC Approves NFA Segregated Funds Reporting Requirements - NFA...more

Libor Manipulation Probe and Litigation Update

by Sedgwick LLP on 7/10/2012

The record-breaking £59.5 million fine imposed on Barclays by the Financial Services Authority (FSA) and $360 million penalty imposed by the U.S. Commodity Futures Trading Commission and Department of Justice in connection...more

REGULATORY: EU Competition Law: EU Internal Energy Market Legislation Not Fully in Force By Suzanne Rab

by King & Spalding on 6/7/2012

The Electricity and Gas Directives of the EU’s Third Energy Package were required to be implemented in EU national legislation by March 3, 2011 (with a year’s grace period until March 3, 2012 for unbundling rules). In our...more

Morgan Stanley Goes One for One with a Best Practices Compliance Program

by Thomas Fox on 5/2/2012

I believe that the Peterson enforcement action is one of the most significant in 2012 to date. It provides solid guidance to the compliance practitioner on what the DOJ and SEC think is important and gives you actions that...more

Antitrust Inspections in The Energy Exchange Market

by McDermott Will & Emery on 2/14/2012

On 7 February, the European Commission (EC) and the European Free Trade Association (EFTA) Surveillance Authority conducted unannounced inspections in the energy exchange market. Representatives of Nord Pool Spot...more

Aggressive FCPA Enforcement Persists: Increased Activity, Along With Recent Legal Developments, Mandate that Companies Remain...

by Sheppard Mullin Richter & Hampton LLP on 2/3/2012

Enforcement of the U.S. Foreign Corrupt Practices Act continues to increase dramatically. The U.S. government is dedicating more resources to FCPA enforcement and bringing more enforcement actions than ever before. This...more

Michael Diaz Jr. - Diaz Reus International...

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Securities Law › International Law & Trade › Antitrust & Trade Regulation

Four Key Board Responsibilities for Monitoring Risk and Compliance

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

Credit Crunch Digest -- March 2013

February 2013: Libor Litigation Update

Merger Control in Africa

Aquila: M&A Looking Up in 2013; "The Negatives Are Built In" [Video]

Ticking Time Bomb: Private LIBOR Litigation

Focus On Competition, Antitrust And Foreign Investment - January 2013: "Investment Canada And Competition Law – 2012 In Review and...

Skadden's 2013 Insights: Global M&A

Skadden's 2013 Insights: Global Litigation

Corporate and Financial Weekly Digest - December 14, 2012

Resource Guide to the U.S. Foreign Corrupt Practices Act (FCPA)

The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance

When the CEO Says No to Compliance: FCPA Insights from Watergate's Egil "Bud" Krogh

CSRC Further Opens China’s Investment Banking Market – But Just a Little

Energy Newsletter - September 2012

Corporate and Financial Weekly Digest - July 20, 2012

Libor Manipulation Probe and Litigation Update

REGULATORY: EU Competition Law: EU Internal Energy Market Legislation Not Fully in Force By Suzanne Rab

Morgan Stanley Goes One for One with a Best Practices Compliance Program

Antitrust Inspections in The Energy Exchange Market

Aggressive FCPA Enforcement Persists: Increased Activity, Along With Recent Legal Developments, Mandate that Companies Remain...

An Improved NAFTA? Investor-State Arbitration Provisions Under the Colombia-US Free Trade Agreement

Energy Newsletter - February 2012

"Skadden's 2012 Insights, January 2012: Global M&A"

Aquila: M&A Looking Up in 2013; "The Negatives Are Built In" [Video]

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