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

Business Litigation Report - August 2017

Supreme Court Highlights Importance of Statute-Specific Venue Rules - The Supreme Court upended nearly thirty years of practice when it ruled, in the TC Heartland LLC v. Kraft Foods Group Brands LLC U.S. , 137 S.Ct. 1514...more

ISDA Master Agreement – Court of Appeal favours chosen law over local

by Dentons on

When commercial parties choose English law to govern their hedging or financing contracts, the English courts will usually apply that choice with very few exceptions. A recent Court of Appeal case further narrows one such...more

Brussels Regulatory Brief: July

by K&L Gates LLP on

On 10 May 2017, the European Commission (“Commission”) published its final report (“Report”) concluding a wide-ranging two-year long inquiry into e-commerce (“Inquiry”). During the Inquiry – which was conceived as part of the...more

US Regulators Launch Fintech Initiatives

by Morgan Lewis on

Two US regulators recently launched initiatives that will encourage cooperation between the securities industry and its regulators with respect to financial technology (fintech) innovations. The US Commodity Futures Trading...more

The PTAB Review - June 2017

Escaping PTAB Review Through Strategic Disclaimer in CBM Proceedings - A patent is only eligible for covered business method (CBM) review if it: (1) claims a method or apparatus for performing data processing or other...more

The World In U.S. Courts - Spring 2017

Cases discussed in this issue - Alien Tort Statute (ATS)/Torture Victims Protection Act (TVPA)/Political Question Doctrine/Foreign Sovereign Immunity Act (FSIA)/Act of State Doctrine - Court of Appeals Considers US...more

Funds Talk: April 2017

SEC Offers Guidance on ‘Fast-Growing Trend’ of Robo-Advisers - As technology and robo-advisers become increasingly common options for asset managers and investors alike, the SEC is taking a closer look at some of the...more

SEC Registered Investment Advisers—A Review of 2016 and a Look at What’s Ahead for 2017

by Robinson & Cole LLP on

As we near the seventh anniversary of the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), private equity and hedge fund advisers are subject to an ever-increasing degree of supervision...more

Financial Services Regulation - Exchange International Newsletter - Issue 31 - February 2017

by DLA Piper on

DLA Piper’s Financial Services International Regulatory team welcomes you to the thirty first edition of “Exchange – International” – our newsletter designed to keep you informed of international regulatory developments in...more

FCPA Compliance Report-Episode 305-Rakhi Kumar on corporate sustainability

by Thomas Fox on

In this episode, I visit with Rakhi Kumar from State Street Global Advisors on building sustainability into your long term corporate growth strategy. With corporate governance in the limelight, it's more important than ever...more

Commodity Trading System and Method are Patent Eligible Subject Matter Under 101

In Trading Technologies International, Inc. v. CQG, Inc., CQG LLC, FKA CQGT, LLC., [2016-1616] (January 18, 2017), the Court of Appeals for the Federal Circuit (CAFC) affirmed a lower court’s holding that the claims of U.S....more

CFTC Approves Final Rule Amendments to CPO Financial Report Regulations

On November 21, 2016, the U.S. Commodity Futures Trading Commission (CFTC) approved final rule amendments to its regulations that allow commodity pool operators (CPOs) to use certain additional alternative generally accepted...more

CFTC Proposes New Rule Allowing it to Obtain Trading Firm’s Trade Secrets Without Due Process

by Seyfarth Shaw LLP on

As the Obama administration winds down, its regulators are showing no signs of letting up. Last week the Commodities Futures Trading Commission (CFTC) decided that it should no longer be constrained by its subpoena power...more

The Financial Report, Volume 5, Number 20 - October 2016

by DLA Piper on

With the general election now less than two weeks away, it is more apparent than ever that Americans often are sharply divided about how best to achieve certain goals, even if we agree on the goals we are trying to achieve....more

UK Regulators Consult on Compensation Guidance

by Shearman & Sterling LLP on

The Prudential Regulation Authority and the Financial Conduct Authority published proposed revised guidance on remuneration, principally to bring their guidance into line with the European Banking Authority's Guidelines on...more

Defend Trade Secrets Act — Implications for Private Funds

On May 11, 2016, the federal Defend Trade Secrets Act (DTSA) became law. The DTSA provides trade-secret protections on the federal level that are similar to those available through the Uniform Trade Secrets Act (UTSA)...more

High Stakes: Investing in a Legal Marijuana Business

by Lane Powell PC on

Considering diversifying with a high-risk investment? Heard the lure of the “green rush” toward a possible $100 billion legal marijuana industry? Before you write that check... Please see full Article below for...more

Technology Industry Newsletter - June 2016

by Buchalter on

For technology companies seeking investment capital, the new SEC regulations on crowdfunding that went into effect on May 16, 2016 present new funding options by expanding the pool of investors beyond the traditional funding...more

This Week in FCPA-Epiode 6

by Thomas Fox on

In this episode I am solo without my partner Jay Rosen. I review the recently concluded Compliance Week 2016 conference and talk about some of the themes, insights and highlights. ...more

Financial Regulatory Developments Focus - April 2016 #3

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

In Case You Missed It: Launch Links - March 2016 #3

by WilmerHale on

Some interesting links we found across the web this week: The SEC could change the requirements for investing in startups, and that’s not good - With its new equity crowdfunding rules soon to take effect, the...more

Corporate Venture Funds: Friend or Foe?

by Foley & Lardner LLP on

Many large corporations have set up, or are in the process of setting up, in-house venture funds. At the same time, early and later-stage companies are looking for “smart money” investors – funds that bring strategic and...more

The man who sold the world: Bowie, bonds and IP securitisation

by DLA Piper on

The loss of David Bowie at the start of this year prompted much discussion of his musical legacy, but less well-publicised was his contribution to finance....more

Global Tax News - February 2016

by DLA Piper on

The European Commission has released its highly anticipated anti-tax-avoidance package. The package, released January 28, 2016, contains proposed rules and recommendations to avoid aggressive tax planning within the...more

Jawbone Successfully Leverages Patent Portfolio as Collateral in Fund Raising Efforts

Fitness device maker Jawbone was recently featured in a Re/code article announcing that the company had raised $165 million in new funding. The article mentioned another aspect of the Jawbone’s fundraising efforts; the...more

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