Orrick, Herrington & Sutcliffe LLP

Exemptions for Security-Based Swaps

On February 10, 2017, the Securities and Exchange Commission (SEC) extended to February 11, 2018 the expiration dates of certain interim final rules relating to “exemptions under [various securities laws] for those…more
| Business Organizations, Finance & Banking, Science, Computers, & Technology

CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Transition for March 1, 2017 Compliance Date for Variation Margin and No-Action Relief From Minimum Transfer Amount Provisions

On February 13, 2017, the U.S. Commodity Futures Trading Commission (the “CFTC“) announced that, between March 1, 2017 and September 1, 2017, it would “not recommend an enforcement action against a swap dealer (SD) for failure…more
| Finance & Banking, Securities Law

Orrick's Financial Industry Week In Review

Financial Industry Developments - New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation - On February 16, 2017, the New York Department of Financial Institutions…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Privacy, Securities Law

Transparency International Publishes “Top Secret: Countries Keep Financial Crime Fighting Data to Themselves”

On February 15, 2017, Transparency International (“TI“) published the above report, recommending that national authorities engage to a greater level in making public disclosure of their countries’ anti-money laundering (“AML“)…more
| Business Organizations, Finance & Banking, International Law & Trade

Big Changes Could Be Coming in Class Action Litigation

On February 10, 2017, U.S. Rep. and House Judiciary Committee Chairman, Bob Goodlatte (R-Va), introduced a new version of his Fairness in Class Action Litigation Act of 2017 (H.R. 985) (the "Act"). The Act, while bearing the…more
| Civil Procedure, Civil Remedies, Elections & Politics

SEC Reportedly Centralizing Authority to Issue Formal Investigation Orders

According to a report in the Wall Street Journal, the acting Chairman of the Securities and Exchange Commission has centralized authority to issue formal orders of investigation – a critical authority that triggers the ability…more
| Administrative Law, Commercial Law & Contracts, Securities Law

European Parliament Publishes Provisional Version of Resolution It Has Adopted on Its 2016 Report on Banking Union

The European Parliament has published a draft of the text of the resolution it has adopted on its annual report on banking union. The Parliament’s resolution is divided into themes, these being resolution, supervision and…more
| Finance & Banking, International Law & Trade

Rating Agency Developments

On February 15, 2017, DBRS issued a report entitled North American Single-Asset/Single-Borrower Methodology. On February 15, 2017, DBRS issued a report entitled DBRS Commercial Real Estate Property Analysis Criteria…more
| Finance & Banking, Real Estate - Commercial, Securities Law

Insider Trading Around Private Placements: Was Tom Price’s Investment Down Under Above Board?

On February 10, the Senate confirmed Representative Tom Price (R-GA) as Secretary of Health and Human Services, where he will oversee the U.S. Food and Drug Administration (FDA). His nomination has not been without controversy,…more
| Commercial Law & Contracts, Elections & Politics, Health, Science, Computers, & Technology, Securities Law

Newsletter Corporate - February 2017

M&A - Balance Sheet Guarantees: German case law has recently developed new requirements for drafting Balance Sheet Guarantees in Share Purchase Agreements. If not properly drafted, such Balance Sheet Guarantees may be regarded…more
| Commercial Law & Contracts, Mergers & Acquisitions

New lending opportunities for EU Alternative Investment Funds in Italy

On 23 December 2016, the Bank of Italy supplemented the regulation on the collective investment management (the "Regulation") which, inter alia, implements article 46-ter of Legislative Decree. n. 58/1998 ("Consolidated…more
| Commercial Law & Contracts, Finance & Banking

Vladis Dombrovskis Gives Speech on the International Financial System

The European Commission has published a speech given by Vladis Dombrovskis, European Commissioner for Financial Stability, Services and Capital Markets Union, on February 10, 2017. Amid general concerns about the state of both…more
| Finance & Banking, International Law & Trade

New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation

On February 16, 2017, the New York Department of Financial Institutions (“DFS“) promulgated a regulation that requires “Covered Entities” to establish and maintain a cybersecurity program designed to protect consumers and the…more
| Finance & Banking, Privacy, Science, Computers, & Technology

New FCRA Class Action Against UPS Shows Traditional FCRA Claims Alive and Well

The federal Fair Credit Reporting Act (FCRA) has created a flurry of class action complaints in recent years aimed at employers who fail to comply with the FCRA’s hyper-technical disclosure and consent requirements. However, a…more
| Labor & Employment Law

Orrick's Financial Industry Week In Review

Financial Industry Developments - Class Action Against Lending Club and WebBank Headed to Defeat - On Monday, January 31, 2017, a federal district court in the Southern District of New York granted a motion to compel…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law
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The Orrick Building
405 Howard Street
San Francisco, CA 94105-2669, United States

Contact: Adi Weisman, Senior Communications Coordinator

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