News & Analysis as of

Investment Banks Conflicts of Interest

Integreon

Streamlining NDA Negotiations for Middle Market Investment Banks: The Case for a Transformative, Tech-Enabled Solution

Integreon on

In the fast-paced world of middle market investment banking, efficiency is currency. Large investment banks representing sellers often enter into thousands of non-disclosure agreements (NDAs) every year. These agreements are...more

Robins Kaplan LLP

Financial Daily Dose 9.24.2019 | Top Story: UK High Court Rules PM’s Suspension of Parliament Illegal

Robins Kaplan LLP on

Prorogate this, Boris. In an “unprecedented” ruling, the UK’s supreme court deemed the Prime Minister’s Brexit-driven suspension of Parliament “unlawful, void and of no effect” this morning and called on the body to reconvene...more

Skadden, Arps, Slate, Meagher & Flom LLP

Delaware Litigation Developments Impacting Financial Advisors

Over the last few years, significant developments in Delaware law and practice have changed the traditional M&A litigation landscape. These developments resulted in a dramatic reduction in pre-closing applications for...more

McDermott Will & Emery

Inside M&A - October 2015

McDermott Will & Emery on

Overview of SPACs and Latest Trends - A number of recent successful business combination transactions involving special-purpose acquisition companies (SPACs) led by prominent sponsors have driven a resurgence in the SPAC...more

Morgan Lewis

SEC Approves Rule to Regulate Debt Research Reports and Debt Research Analysts

Morgan Lewis on

Background - Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s (FINRA's) proposed Rule 2242 (the Rule or Rule 2242), which will...more

Broker-Dealer Compliance + Regulation

FINRA Sets Effective Dates for Research Report Conflicts Rules

FINRA rules addressing conflicts of interest relating to the publication of equity research reports become effective on September 25, 2015, or December 24, 2015. Corresponding rules for debt research reports become effective...more

WilmerHale

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt...

WilmerHale on

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more

Morgan Lewis

FINRA Publishes Guidance on Research Conflict of Interest Rules

Morgan Lewis on

FINRA explains the risk levels associated with communications regarding potential investment banking transactions: from low to high to “unmanageable.” On May 27, the Financial Industry Regulatory Authority (FINRA)...more

Morrison & Foerster LLP

Will Principles-Based Guidance be Easier to Follow?

Practitioners and market participants often complain that rules and regulations ought to be principles-based rather than prescriptive. In advocating for principles-based regulation, the argument is often made that the...more

Morrison & Foerster LLP

FINRA Proposes Changes to the Equity Research Analyst and Equity Research Report Rule

Morrison & Foerster LLP on

On November 18, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change with the Securities and Exchange Commission (the “SEC”) to adopt NASD Rule 2711 as new FINRA Rule 2241 with...more

McDermott Will & Emery

Financial Advisory Update

McDermott Will & Emery on

Novel theories by plaintiffs’ lawyers need to foster novel approaches by M&A lawyers. A number of recent cases highlight the increasing risks for financial advisors and the lawyers who represent them. Financial...more

11 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide