Investors

News & Analysis as of

Out-Of-State Investment in Washington’s Marijuana Industry on Hold

Several Washington regulations limit the growth of the state’s marijuana industry. Those limitations have kept nonresident investors at bay. For the second year in a row, however, the Washington legislature has considered...more

Disclaimers: Paper Shield or Your Best Protection?

The UK Court of Appeal recently considered the liability of issuers to secondary market investors under the Misrepresentation Act 1967 (the “1967 Act”) in the case of Taberna Europe CDO II Plc v Selskabet (formerly Roskilde...more

HMRC publishes responses to the consultation on Partnership taxation

The result of the HM Revenue & Custom's consultation on UK partnership taxation was released on 20 March, this is important for both fund partnerships and fund managers structured as LLPs which file UK tax returns. Although...more

Your Daily Dose of Financial News

Eric Mindich—famous for becoming the youngest-ever Goldman partner at 29—is shuttering his Eton Park Capital Management hedge fund and returning the $7 billion it manages to investors. Viewed along with Pershing Square’s...more

AIG Europe Limited v Woodman and others

On 22 March 2017, the Supreme Court handed down judgment in the case of AIG Europe Limited v Woodman and others, in which they considered the meaning of the words 'a series of related matters or transactions' within an...more

Healthcare & Life Sciences Private Equity Deal Tracker: Webster Capital Completes Sale of Epic Health Services to Bain Capital

Webster Capital announced it has completed the sale of Epic Health Services to Bain Capital. Plans for the acquisition were announced late last year. Financial terms were not disclosed....more

Blog: Excitement about Adult Learning: A Lasting Impression from SXSWedu

Last week I was in Austin, Texas attending one of the largest gatherings of education innovators in the world, the SXSWedu Conference and Festival. After some time thinking about all of the great discussions I had, I want to...more

Healthcare & Life Sciences Private Equity Deal Tracker: Alignment Healthcare Secures $115 Million Investment from Warburg Pincus

Alignment Healthcare has announced it has received a $115 million investment. Alignment Healthcare, based in Orange, Calif., is a developer of population health management technology....more

New Medium, Same Expectations: CSA Cautions Canadian Public Issuers on Use of Social Media

On March 9, 2016, the Canadian Securities Administrators (CSA) published Staff Notice 51-348 Staff’s Review of Social Media Used by Reporting Issuers (Staff Notice), which reported on the social media disclosure (Facebook,...more

Investors Don’t Think That Climate Change Is A Hoax: Black Rock Is Losing Its Patience

Black Rock, which manages more than $5 trillion in assets, has released a statement on how it “engages with climate risk.” The statement has three main elements. ...more

So You Want To Invest In A Cannabis Business...

Many people see the green of cannabis as a way to the pot of gold at the end of the rainbow. If you are going to invest in a legal (at a state level) cannabis business, you need to make sure that you know what you purchase....more

BloggeRS: Eva Lai ‘Proposal for New Chinese Investment Rules – Is UK Property Investment Still Attractive?’

Reports suggest that China proposes to impose greater monitoring of large outbound investments and potentially block state-owned enterprises from purchasing overseas property with a value of more than US$1bn in a single...more

What Should You Take Away From The SEC’s Investor Bulletin

The SEC recently published its latest investor bulletin. The SEC publishes these from time to time to bring awareness to the investing public on certain issues....more

A win for investors? FCA consults on its proposals to improve the availability of information

On 1 March 2017, the Financial Conduct Authority (FCA) published a consultation paper: 'Reforming the availability of information in the UK equity IPO process' (CP 17/5) which sets out various proposals to improve the timing,...more

How effective are the UK's primary markets? The FCA asks for feedback on suggestions for market reform

On 14 February 2017, the Financial Conduct Authority (FCA) published: a discussion paper: 'Review of the Effectiveness of Primary Markets: The UK Primary Markets Landscape' (DP 17/2) which prompts a discussion on the...more

HB 2946 – The New and Improved Illinois Angel Investment Tax Credit Program

For those who don’t know, Illinois has had an “Angel Investment” program since 2012 where investors who invested in qualifying companies would receive a 25% tax credit against their Illinois income taxes. Sounds great in...more

SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings

On March 1, 2017, the Securities and Exchange Commission (SEC) voted to adopt rule and form amendments that will require issuers to include a hyperlink to each exhibit in a filing’s exhibit index. The intent of the rule and...more

KKR Closes $13.9 Billion PE Fund

KKR has announced the closing of KKR Americas XII Fund, a $13.9 billion fund. The fund will focus on investments in the United States, Canada and Mexico in seven industries, including healthcare....more

DOL Fiduciary Rule: Proposed Delay to the Applicability Date

The DOL’s proposal comes in response to the Presidential Memorandum issued on February 3, 2017, regarding the Fiduciary Rule. The Presidential Memorandum directed the DOL to conduct an updated impact assessment on whether the...more

An Introduction to Warrants

What is a Warrant? A warrant generally is a contract that gives the holder the right to buy a specified number of shares of stock of a company at a defined price and during a specified period of time. A warrant is to an...more

Healthcare & Life Sciences Private Equity Deal Tracker: Doctor.com Secures $5 Million in Funding

Doctor.com has announced the closing of a $5 million series A investment. Doctor.com is a provider of cloud-based marketing automation solutions built for the healthcare industry....more

Exhibit Hyperlinks and HTML Format

On March 1, 2017, the Securities and Exchange Commission (the “Commission”) adopted amendments that require that registrants that file registration statements under the Securities Act of 1933 (the “Securities Act”) and the...more

SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers

On February 23, 2017, the Securities and Exchange Commission (“SEC“) published information and guidance for investors and the financial services industry on the use of robo-advisers, described by the Staff as “registered...more

Regulation Round Up - February 2017

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

Your Daily Dose of Financial News

It may lack some of the flourish of a BBG missive, but you can be sure that plenty of insiders are paying close attention to Mr. Buffet’s annual letter to Berkshire Hathaway shareholders....more

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