Capital Markets

News & Analysis as of

SEC Charges ECN Operator For Failing To Protect Customer Data

Fragmented markets, alternative trading systems and dark pools are increasingly a focus of discussion in the wake of repeated market outages. Interest in these venues has been intensified by the publication of Flash Boys and...more

Debate Continues Regarding Proposed Cooperative Capital Markets Regulatory System

On July 9, 2014, on what Finance Minister Joe Oliver called “a landmark day” for reforming Canada’s capital markets regulatory regime, the federal government announced that Saskatchewan and New Brunswick had agreed to join...more

A Mid-Year Report Card on the Commercial Real Estate Capital Markets

We at Crunched Credit have taken a bit of a pause of late. It is, of course, the dog days of summer. But it’s time to get back into the fray. Let’s start by noting the doldrums seem to have taken a pass. From where we...more

Financial Regulatory Developments Focus - July 2014 #3

In this issue: - Derivatives - Compensation - Bank Prudential Regulation and Regulatory Capital - Recovery & Resolution - Credit Ratings - Insurance - Financial Services...more

Financial System Inquiry – interim report released

The interim report of the Financial System Inquiry was released on 15 July. In the report, the Inquiry’s committee, headed up by Mr David Murray AO, have made 28 observations on how the system is currently operating. There...more

State Council Released Opinions on Promoting Fair Competition and Maintaining Regular Order in the Market

The Opinions put forward nine articles of guidelines: general requirements; broadening market access; strengthening market supervision; establishing credit basis for market supervision; improving supervision and enforcement;...more

Focus on Regulatory Law - July 2014

In This Issue: - Regulation Authorities ..French Competition Authority ..Securities and Market Authority ..Audiovisual Council ..Authority for the Regulation of Electronic Communications -...more

Commissioner Piwowar Slams “Dodd-Frank Politburo” for Overstepping Authority

In a speech on July 15, 2014, SEC Commissioner Michael S. Piwowar expressed his views about the Financial Stability Oversight Council (FSOC) operating in secrecy as it tries to expand its regulation of financial institutions...more

Exchange – International Newsletter - Issue 23 – July 2014

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-third edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the...more

Saskatchewan and New Brunswick join Cooperative Capital Markets Regulatory System

On July 9, 2014, Canada's Minister of Finance announced that Saskatchewan and New Brunswick have agreed to join the Cooperative Capital Markets Regulatory System that has been proposed by the governments of Canada, British...more

Stand by for Risk Retention

The Risk Retention Rule Is Coming! The sky may not be falling, but The Risk Retention Rule is Coming at last! Very soon, we hear. ...more

Sound Bites from REFF Wall Street

The Renewable Energy Finance Forum Wall Street was held on June 25 and 26. Below are selected sound bites about YieldCos, tax equity and the capital markets opportunities for renewables. This post was prepared without the...more

"First-Half Activity Energizes US Capital Markets in 2014"

The U.S. equity and debt markets experienced a strong first half of the year. In the first quarter, the U.S. IPO market was the busiest since 2000, more than doubling the number of IPOs from the same period last year. ...more

Doing Business in Canada: Securities Regulation

SECURITIES REGULATION - The principal stated purpose of Canadian securities legislation is to preserve the integrity of capital markets and to protect the investing public. In Canada, there is not yet federal...more

Financial Regulatory Developments Focus - June #3

In this issue: - Compensation - Capital and Prudential Regulation - Bank Structure - Financial Services - Consumer Protection - Enforcement - People - Events...more

Financial Regulatory Developments Focus - June 2014 #2

In this issue: - Derivatives - Capital and Prudential Regulation - Remuneration - Credit Ratings - Funds - Financial Services - Enforcement - Events -...more

Best Practices for Independent Directors of Business Development Companies

As business development companies (BDCs) grow in popularity, the role of their independent directors grows in importance. Here we look at the increasingly important role that BDC independent directors play and how their...more

Joining The Main Market: A field guide for applicants to the Main Market

1 WHAT ARE THE BENEFITS OF JOINING THE MAIN MARKET? - Access to capital – Joining the Main Market will provide the company with access to a wide institutional and retail shareholder base and a deep pool of capital,...more

Financial Regulatory Developments Focus - June 2014 #1

In this issue: - Derivatives - Regulatory Capital - Bank Prudential Regulation - Financial Market Infrastructure - Financial Services - Enforcement - People -...more

SEC Polices Cybersecurity on Wall Street

As U.S. Securities and Exchange Commission (SEC) Chairwoman Mary Jo White recently emphasized at a Cybersecurity Roundtable sponsored by the Commission, the rise of cybersecurity threats poses an increasing risk to companies,...more

Financial Regulatory Developments Focus - May 2014

In this issue: - Derivatives - Regulatory Capital - Recovery & Resolution - Funds - Financial Services - Enforcement - Events - Excerpt from...more

The Oklahoma MLP Quarterly - 1Q 2014

The Oklahoma MLP Quarterly highlights changes in taxation, law and capital markets that affect master limited partnerships who have headquarters located in, or significant contacts with, Oklahoma. The publication is...more

And we thought things were going well…

Recently, the Committee on Capital Markets Regulation published information regarding the competitiveness of our US capital markets. See the Committee’s site for detailed statistics that seem to focus principally on whether...more

6 Oilfield Services Trends In Unconventional Resources

North American drilling and production activity is increasing service and technology demands and leading to shifts in capital markets and M&A transactions. North America continues to be one of the largest oil and gas...more

5 things you should know about HUD’s new Public Housing Capital Fund rule

Last October, HUD published a final rule that made a number of changes both to requirements related to Capital Funds as well as to the mixed-finance development process. At the time the rule was published, Ballard Spahr LLP...more

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