On 4 August 2015, the Treasury of the Australian Government released a consultation paper, facilitating crowd-sourced equity funding and reducing compliance costs (Consultation Paper). This follows the previous discussion...more
During their July 15 open telephone meeting, the SEC’s Advisory Committee on Small and Emerging Companies continued discussion on the regulatory treatment of “finders” and disclosure effectiveness relating to small...more
A few days ago, IVASS issued Regulation no. 8 of 3 March 2015 describing the simplified procedures and compliance obligations applying to relationships between enterprises, intermediaries and clients.
The proposal covers shareholder votes on remuneration policies and related party transactions and greater transparency obligations on certain market participants.
The European Commission (EU Commission) recently...more
On January 23, the Treasury Department’s OFAC announced that a Luxembourg bank agreed to pay $152 million to resolve potential civil claims that the bank concealed the interest of the Central Bank of Iran (CBI) in certain...more
On January 3, the Commodity Futures Trading Commission requested public comment on the Division of Swap Dealer and Intermediary Oversight’s Advisory regarding the applicability of transaction-level requirements to non-US swap...more
The Securities and Exchange Commission ("SEC") proposed for comment new regulations on Crowdfunding.
Crowdfunding is the general term used to describe a new way of raising capital using the Internet. A crowdfunding...more
On November 6, a Paris Court ordered Google to filter out hyperlinks to images of former F1 boss Max Mosley in an allegedly Nazi-themed sadomasochistic orgy. (TGI Paris, 17e ch., 6 novembre 2013, RG 11/07970, Max Mosley c....more
On October 29, 2013, the California Court of Appeal affirmed as proper a trial court’s refusal to give defendant John Crane, Inc.’s (Crane’s) requested jury instruction on the “sophisticated user” defense. In Anne Pfeifer, et...more
On October 29, the Internal Revenue Service (IRS) issued Notice 2013-69, which includes guidance to foreign financial institutions (FFIs) entering into FFI agreements with the IRS and a draft FFI agreement. The Notice also...more
The imminent repeal of the SEC’s long standing prohibition on general solicitation in private placements conducted under Regulation D (provided that only accredited investors purchase securities in such a transaction)...more
I am sure Justice Department and Securities and Exchange Commission lawyers sometimes sit back and marvel at the world they have helped create – Companies are devoting more resources to the due diligence process for screening...more
A previous post presented the background of this case, as well as Judge Lourie's plurality concurrence. As noted in that post, Alice's claimed inventions involved the reduction of settlement risk using a third-party...more
The knock-on effects of the global economic crisis have influenced the financing of the commodities trading industry. Changes in the regulatory landscape in Europe and the United States have likewise...more
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