Capital Markets

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Global Financial Markets Insight - Issue 8, Q4 2015

In this issue we also look at some of the practical issues impacting financing practices in a variety of European and emerging markets. This includes looking at new legislation to open up markets such as the covered bond...more

The Evolving Landscape for Finance in Greater China

Hong Kong has long served as a financial center for Asia. Now, as demand for capital in mainland China increases, and Chinese restrictions are easing, the region is poised for greater cross-border activity in the financial...more

Revised Capital Markets Act: Civil Damages for Insider Trading Revisited

The recently released revised consultation draft of the Capital Markets Act (CMA) for the proposed Cooperative Capital Markets Regulatory System (Cooperative System) includes noteworthy revisions to the definition of...more

The Acquisition and Leveraged Finance Review

During the decade preceding the financial and economic crisis, Austria has developed into a buoyant market for both domestic and international M&A activity, with some of the peak years seeing over 400 deals. Compared to...more

Blog: Are Companies Making Progress In Preparing For The New Revenue Recognition Standard?

As former Corp Fin Director John White observed during the PLI Securities Regulation Institute last week, the new revenue recognition standard will represent a massive change for many companies. Perhaps with that in mind, SEC...more

Banks Are Key To Harnessing The Power Of Alternative Finance

European corporates continue to embrace alternative finance, with about one third (30%) of their funding coming from this source, according to research published today by Allen & Overy. However, the market remains...more

Capital Markets Union - Part 2: Two Options for a Pan-European Covered Bond Framework

As part of the European Commission’s plan to build a Capital Markets Union (CMU), the Commission has launched a consultation on the possibility of establishing a pan-European covered bond framework. Two policy options for...more

Guidance for IPO Issuers

On October 28, 2015, at a Practising Law Institute program, the Securities Regulation Institute, the Director of the Division of Corporation Finance of the Securities and Exchange Commission joined a panel discussion on...more

Draft Derivatives Laws Issued for the Canadian Cooperative System Harmonize Divergent Provincial Approaches

Draft derivatives regulations and a revised draft of the uniform Capital Markets Act (CMA) were issued in August 2015 as part of the process to implement the new Cooperative Capital Market Regulatory System (Cooperative...more

Barclays and Wachovia Settle with NCUA

On October 19, 2015, Barclays PLC and Wachovia Capital Markets LLC agreed to pay $325 million and $53 million, respectively, to settle claims brought by the National Credit Union Administration Board (NCUA), as liquidating...more

The Action Plan for a Capital Markets Union – Part 1: Aims, Priorities and Measures

On 30 September 2015, the European Commission adopted an action plan to achieve a European single market for capital for the 28 Member States (the Action Plan). On the same date, the Commission also launched some of the...more

U.S. Chamber of Commerce Joins Chorus Pushing For Overhaul in SEC Enforcement Practices

A recent report by the Center for Capital Markets Competitiveness at the U.S. Chamber of Commerce (Chamber Report) regarding the enforcement program of the Securities and Exchange Commission (SEC or Commission) identified...more

Governance & Securities Law Focus: Latin America Edition, October 2015

This newsletter provides a snapshot of the principal US and selected global governance and securities law developments during the third quarter of 2015 that may be of interest to Latin American corporations and financial...more

European Commission Launches Call for Evidence on Financial Services Regulation

On September 30, simultaneously to its publication of the Capital Markets Union (CMU) Action Plan (see the October 9 edition of Corporate & Financial Weekly Digest for further information on the CMU), the European Commission...more

BCBS FAQs on Basel III Countercyclical Capital Buffer

On October 19, 2015, the Basel Committee on Banking Supervision (BCBS) issued frequently asked questions (FAQs) on the Basel III countercyclical capital buffer (BCBS 339). In December 2010, the BCBS published its final...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

AIFMD – Updated Q&As Clarify Position on Sub-Delegation of Custody by AIF Depositaries - ESMA updated its Q&As on 1 October regarding the application of the AIFMD, clarifying its position on AIFMD provisions on...more

Governance & Securities Law Focus: Asia Edition, October 2015

In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see full...more

Germany Tightens Voting Rights Disclosure - New rules increase complexity of voting right disclosures and impose

On October 1, 2015, the German Parliament adopted the national “Act Implementing the EU Transparency Directive Amending Directive (2013/50/EU)” (the “Act”). The aim of the directive is to harmonize the regime for notification...more

Check the Cooperative System’s Regulation of Prospectus Offerings and Continuous Disclosure: Like It So Far?

The revised consultation draft of the uniform provincial and territorial Capital Markets Act (CMA) and draft initial regulations under the CMA (Initial Regulations and, together with the CMA, the Consultation Drafts) have...more

Preparing for the Unsolicited Bid

Market volatility, the recent decline in commodity prices, or in some circumstances a combination of these factors, has resulted in a significant decline in the trading prices of many Canadian public companies relative to...more

European Commission Launches Capital Markets Union Action Plan

On September 30, the European Commission (EC) launched the Capital Markets Union (CMU) Action Plan as the initial blueprint to help build a single market for capital within the European Union. The intention of the CMU is to...more

Commission adopts CMU action plan

The Commission has adopted an action plan setting out 20 key measures to achieving a true single market for capital in Europe (Capital Markets Union (CMU)). Key early action points include...more

Commission adopts securitisation proposals

As part of the CMU action plan, the Commission has adopted a proposal for a Securitisation Regulation setting out a general framework for securitisation and amendments to the Capital Requirements Regulation (CRR). ...more

European Commission publishes plans for a Capital Markets Union

On 30 September, the European Commission released its Action Plan for a Capital Markets Union (the “Action Plan”). The Capital Markets Union (“CMU”) is one of the key elements of the broader Investment Plan for Europe...more

Legislative Proposal for an EU Framework for Simple, Transparent and Standardized Securitization

On September 30, 2015 the European Commission (EC) published a legislative proposal for an EU framework for simple, transparent and standardized securitization. It has also published a legislative proposal for a regulation...more

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