Orrick, Herrington & Sutcliffe LLP

SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers

On February 23, 2017, the Securities and Exchange Commission (“SEC“) published information and guidance for investors and the financial services industry on the use of robo-advisers, described by the Staff as “registered…more
| Finance & Banking, Securities Law

SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings

On February 17, 2017, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) signed an agreement to facilitate information sharing with respect to rules regarding…more
| Finance & Banking, Securities Law

The World in US Courts: Orrick's Quarterly Review of Decisions Applying US Law to Global Business and Cross-Border Activities

Alien Tort Statute (ATS)/Political Question Doctrine/Foreign Sovereign Immunity Act (FSIA)/ Act of State Doctrine - District Court Dismisses ATS Claim Where Alleged Conduct in US was not Directly Linked to Injuries Claimed…more
| Antitrust & Trade Regulation, Bankruptcy, Civil Procedure, Commercial Law & Contracts, International Law & Trade

IRS Allows 401k Plan Safe Harbor and ADP ACP Corrective Contributions to be Funded from Forfeitures

We are pleased to bring you some good news for 401(k) plans from the IRS. The IRS just issued a proposed regulation that allows safe harbor contributions to a 401(k) plan, or employer contributions used to correct a failed…more
| Finance & Banking, Labor & Employment Law, Taxation

ECB Publishes Letter on Development of SSM Guides on ICAAP and ILAAP for Significant Institutions

On February 20, 2017, the European Central Bank (“ECB“) published a letter from Ms. Daniele Nouy, Chair of the Supervisory Board of the ECB, to the management of significant institutions under the Single Supervisory Mechanism…more
| Finance & Banking, International Law & Trade

Rating Agency Developments

On February 22, 2017, DBRS issued a report entitled DBRS Criteria: Recovery Ratings for Non-Investment Grade Corporate Issuers. Report. On February 22, 2017, DBRS issued a report entitled Rating Companies in the Services…more
| Finance & Banking, Securities Law

Trade Secret Misappropriation in the World of Driverless Cars: Google versus Uber

On Thursday, Waymo LLC sued Uber Technologies and Ottomotto LLC in federal court in the Northern District of California for: (1) violation of the federal Defend Trade Secrets Act; (2) violation of California’s Uniform Trade…more
| Civil Procedure, Intellectual Property, Science, Computers, & Technology

How to Recruit and Hire While Avoiding Data Contamination

When we think about trade secrets, we usually focus on keeping our own data safe. But an even bigger risk comes from hiring employees who can infect our systems with confidential information from a competitor. Companies often…more
| Labor & Employment Law, Privacy, Intellectual Property

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
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