Capital Markets

News & Analysis as of

NY-NJ Port Authority Admits Violating Federal Securities Laws

The Port Authority of New York and New Jersey is a significant participant in the capital markets with about $20 billion in debt outstanding. Tracing its history to 1921 when the two states entered into an interstate compact...more

Saudi Arabia Update - December 2016

Legal developments - New Regulations Published - The Minister of Commerce and Investment approved the Regulations for Unlisted Joint Stock Companies (Regulations). The Regulations cover many topics, including the...more

Brussels Regulatory Brief: December

January will bring some important changes in the internal composition and current leadership of the European Parliament (“EP”). Such changes are expected to shake the EP’s internal life, even without a shift in the general...more

Transforming bank prudential regulation – Issue 2 of 3

On 23 November 2016 the European Commission published proposed amendments to the Capital Requirements Regulation and Directive, the Bank Recovery and Resolution Directive, and the Single Resolution Mechanism Regulation....more

Commercial Mortgage Loans and CMBS: Developments in the European Market – Chapter 5

As highlighted throughout this book, a significant development in the capital markets over the last two decades has been the arrival of real estate debt on the global stage as an asset class in its own right. Based on its...more

Presidential Pulse: 10 Key Ways the Trump Administration May Impact The Way You Do Business in 2017

Today marks just over a month since Donald Trump was elected as the next President of the United States. As each cabinet appointment is announced, we get more clues to help us predict which direction the Trump...more

Transforming bank prudential regulation – Issue 1 of 3

On 23 November 2016 the European Commission published proposed amendments to the Capital Requirements Regulation and Directive, the Bank Recovery and Resolution Directive, and the Single Resolution Mechanism...more

The rise of sovereign credit rating downgrades

What is a sovereign credit rating and why is it important? A sovereign credit rating is a country’s credit rating as determined by credit rating agencies at the request of that particular country. Credit rating agencies...more

Saudi Arabia Update - November 2016

Special Labor Courts Launching Soon - The Ministry of Justice (MOJ) and the Supreme Judicial Council have finally stepped forward with launching the special labor courts in Saudi Arabia, which are expected to begin...more

Reminder: New Alberta Securities Commission Fees Rule Comes Into Effect on December 1

On May 30, 2016, the Alberta Securities Commission (ASC) announced important changes to ASC Rule 13-501 Fees (Fee Rule) that will come into force on December 1, 2016. The Fee Rule is a significant modernization of the...more

What Might Be the Future of the Dodd -Frank Act’s Insurance and Reinsurance- Related Provisions in a Trump Administration?

During the recent election campaign, President-elect Donald Trump pledged to repeal the Dodd-Frank Act if elected, criticizing the regulatory burdens it imposed on different portions of the financial services sector and...more

Global Insight, Issue 18

The current decline in oil prices, which continues to show no signs of a long-term reversal, is having unexpected and unwanted consequences, many of which may turn into long-lasting troubles for the oil and gas industry,...more

CSA Start Allowing International Dealers to Trade Canadian Issuers’ Bonds in Secondary Market

The Canadian Securities Administrators (CSA) have started granting their first exemption orders to permit international dealers to engage with Canadian clients in secondary market trading of bonds of Canadian issuers, under...more

"Looking Ahead: The U.S. Legal and Regulatory Environment Under a Trump Administration"

Election Day brought an end to a long period of uncertainty that caused market fluctuations and delayed business planning decisions. As we navigate the post-election landscape, many questions remain regarding the potential...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings - On October 26, 2016, the Securities and Exchange Commission adopted rules designed to modernize...more

ICMA Guide to the European Corporate Debt Private Placement Market

On October 25, 2016, the International Capital Market Association (“ICMA”) published the European Corporate Debt Private Placement Guide (the “Guide”). The Guide is intended to provide a voluntary framework of best practices...more

European Commission Work Program 2017

On October 25, 2016, the European Commission issued a communication outlining its 2017 Work Program (COM(2016) 710 final). The communication is addressed to the European Parliament, the Council of the EU, the European...more

Saudi Arabia Update - October 2016

Legal developments - Nitaqat counts 60-year-old expats as two employees - Saudization is the colloquial term used to refer to Saudi Arabia’s official government policy of encouraging the employment of Saudi Arabian...more

Final Report on Investment and Corporate Banking Market Study Published by UK Regulator 

The Financial Conduct Authority published its final report on the investment and corporate banking market study. The focus of the study was on primary market activities in the UK, including equity capital markets, debt...more

Application of New Debt-Equity Regulations to Securitizations

On October 13, 2016, Treasury and the IRS issued new final and temporary “anti-inversion” regulations under section 385 of the Internal Revenue Code that could treat certain purchasers of notes issued by securitizations as...more

Capital Markets & Public Companies Quarterly: Potential Shift in SEC’s Proxy Access No-Action Policy and Other New Guidance from...

The third quarter of 2016 saw the US Securities and Exchange Commission (SEC) carry forward its momentum from an active second quarter. Recent developments include new SEC Compliance & Disclosure Interpretations (C&DI) and...more

Agenda for October 5 SEC Advisory Committee Meeting

The Securities and Exchange Commission has published the agenda for the October 5 meeting of the Advisory Committee on Small and Emerging Companies. The Advisory Committee plans to discuss and cover Regulation S-K...more

Tighter connections between the Bay Area and Israel will encourage investment flows

Silicon Valley trends are often soon felt in its Israel equivalent Silicon Wadi. The two start-up ecosystems are intrinsically linked. In April this year, the connection between the two regions was further tightened when...more

Saudi Arabia Update - September 2016

As per the new Companies Law that came into effect on 2 May 2016 and which we have described in previous updates, single owner LLCs may be formed – whereas previously a minimum of two shareholders was required....more

Orrick's Financial Industry Week in Review

Financial Industry Developments - OCC Discusses Marketplace Lending - On September 13, 2016, Comptroller of the Currency Thomas J. Curry discussed marketplace lending's risks and associated policy questions. He...more

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