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

Implementation Decree for the Say-on-Pay Provisions of the Loi Sapin II Adopted

by Jones Day on

Adopted on 8 November 2016, the Sapin II Act (Loi Sapin II) introduced a compulsory ex ante vote on remuneration policy and an ex post vote on the amount of remuneration received in accordance with the policy passed the...more

Portuguese courts consider the enforceability of derivatives

by DLA Piper on

Within the last few years, derivatives have been under scrutiny by Portuguese courts, affecting not only derivatives entered into under agreements subject to local law, but also derivatives subject to International Swaps and...more

The Financial Report, Volume 6, Number 9

by DLA Piper on

US financial regulators discuss Volcker Rule. CNBC reported that US financial regulators are tackling one of Wall Street’s biggest concerns by discussing the Volcker Rule governing banks’ proprietary trading. Rich Foster,...more

The Financial Report, Volume 6, Number 8

by DLA Piper on

International Monetary Fund reviews top threats to markets and banks. The Wall Street Journal reported on the IMF’s warning that high corporate leverage could threaten financial stability as the Federal Reserve raises...more

Complete Revision of German Securities Trading Act Passed German Parliament

by Jones Day on

On 30 March 2017, the German Parliament (Bundestag) finally approved a complete revision of the German Securities Trading Act (Wertpapierhandelsgesetz) as part of the Second Financial Markets Reform Act (2....more

FCA Announces Review on Availability of Information Before IPO

by Jones Day on

May 2017 On 1 March 2017, the FCA published a consultation paper proposing a number of policies aimed at improving the information made available to investors during the initial public offering ("IPO") process. The paper also...more

Limitation of Corporate Loss Carryforward Affecting Only Particular Share Transfers Declared Unconstitutional

by White & Case LLP on

The Federal Constitutional Court of Germany held that the forfeiture of tax loss carryforwards under Sec. 8c para. 1 sent. 1 CITA is inconsistent with the principle of equal treatment pursuant to German Constitutional Law....more

Shareholder Rights Directive: Parliament Resolution at First Reading to Adopt Directive

by Jones Day on

On 14 March 2017, the European Parliament resolved to adopt the Commission's proposal to amend the Shareholder Rights Directive. The amendments approved by Parliament include...more

Corporate and Financial Weekly Digest - Volume XII, Issue 19

BROKER-DEALER - FINRA Requests Comment on Rules Governing Employees’ Outside Business Activities - On May 15, as part of a new review, the Financial Industry Regulatory Authority requested public comment on the...more

Legislation Relating to Capital Formation

As the 115th United States Congress is currently in session, a number of bills designed to promote capital raising for companies have been introduced in both the House and the Senate. In the last two months, both the House...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The new Chairman continues to build out the senior staff, making key appointments. Specifically, the Chairman appointed: Jaime Klima, formerly co-chief of staff under Acting Chairman Piwowar, as his Chief Counsel; Lucas...more

Korea Newsletter - May 2017

by McDermott Will & Emery on

Recent Representative Matters and News - ACUSHNET IPO - McDermott represented Korean private equity funds Mirae Asset Private Equity Partners Fund VII, Neoplux No.1 Private Equity Fund, and Woori Blackstone Korea...more

WilmerHale, Waivers and When to Stop Investigating

by WilmerHale on

Boyd Johnson is the New York-based co-chair of WilmerHale’s investigations practice, while Stephen Pollard leads the firm’s UK team. Both partners joined WilmerHale in late 2011 – Johnson from the US Attorney’s Office for the...more

Conservation Finance: An Increasingly Attractive Concept for Investors?

by Latham & Watkins LLP on

Broadly defined, conservation finance is the raising of capital to support the conservation of land, water and resources. This concept started with “debt for nature” swaps during the 1980s and 1990s whereby developing...more

Ecuador terminates 12 BITs - a growing trend of reconsideration of traditional investment treaties?

by DLA Piper on

On 3 May 2017, the Ecuadorean National Assembly (Ecuador's legislative body) approved the denunciation of 12 bilateral investment treaties (BITs), with China, Chile, Venezuela, the Netherlands, Switzerland, Canada, Argentina,...more

Bridging the Week - May 2017 #3

ICE Futures U.S. Settles Disciplinary Actions Against Three Respondents For Alleged Block Trade Violations For US $325,000 Combined Fine - ICE Futures U.S. settled two related disciplinary actions against three persons for...more

Corporate and Financial Weekly Digest - Volume XII, Issue 18

SEC/CORPORATE - US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3 - Several companies have received shareholder letters seeking to recover short-swing profits from insiders under Section...more

Development of court practice of determining direct capital investment for the purpose of applying the 5% withholding tax rate...

by Dentons on

On 3 May 2017 the Commercial Court of Chelyabinsk Region rendered a decision in case No. ?76-20508/2016 under the claim of Chelyabenergosbyt PJSC (the “Company”)....more

Chinese Outbound M&A: 4 Key Questions

by Latham & Watkins LLP on

Overseas direct investment by Chinese companies increased significantly in 2016 to US$212 billion, a 143% increase from 2015. While outbound M&A interest remains strong in China, recent measures taken by the Chinese...more

RISK: To Retain or Not Retain in Sukuk?

by King & Spalding on

Introduction - 17 C.F.R. Part 246, adopted jointly by the United States Securities and Exchange Commission (the “SEC”) and other federal agencies in October of 2014 (the “U.S. Risk Retention Rule”) was adopted in response...more

Public Mergers and Acquisitions in Canada 2nd Edition - May 2017

by Bennett Jones LLP on

Canadian public merger and acquisition transactions in 2016 (in-bound and out-bound) comprised over C$400 billion in value with at least one-third of the transactions in Canada being fueled by foreign buyers. The second...more

Global Employee Equity at a glance: definitions

by White & Case LLP on

Welcome to the definitions page of our Global Employee Equity at a glance series. Home Member State — The Member State of the European Union ("EU") ("Member State") with whose regulatory authority the Issuer is required...more

M&A Deal Terms in 2017: What Can Deal Teams Expect?

by Latham & Watkins LLP on

Britain’s decision to leave the European Union in June 2016, coupled with the election of Donald Trump as US president in November 2016, gave dealmakers plenty of pause for thought last year – but ultimately did little to...more

Australian Federal Budget 2017 - 2018

by DLA Piper on

The Australian Government introduces a new major bank levy, increases the costs for foreign owners of Australian real estate and extends Managed Investment Trust concessions to investment in Affordable Housing from 1 July...more

State Securities Laws – Granting Options and Equity Comp in the United States

by Dorsey & Whitney LLP on

A Canadian company that proposes to grant stock options or other types of equity compensation to persons in the United States must comply with the securities laws of the state in which the recipient is located, unless the...more

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