News & Analysis as of

Investors

U.K’s Financial Conduct Authority to Examine Investment Platform Service Providers

by Sedgwick LLP on

On July 17, 2017, the Financial Conduct Authority (FCA) announced that it will explore whether investing platforms help investors make good investment decisions, and whether their investment products offer investors value for...more

On the Brink of Protectionism? Germany Tightens Rules on Foreign Investment Controls to Block Unwanted Takeovers

by Reed Smith on

On 12 July 2017, the German government adopted new provisions amending the German Foreign Trade and Payments Ordinance (Außenwirtschaftsverordnung – “AWV”). By implementing the new rules, Germany is trying to stop losing...more

Update on the New Prospectus Regime

by Dechert LLP on

As part of its Capital Markets Union action plan, in June 2017 the EU adopted the new Prospectus Regulation (2017/1129), which overhauls the prospectus regime and is intended to improve accessibility to capital markets for...more

Focus Healthcare Partners Closes $312 Million PE Fund

by McGuireWoods LLP on

Focus Healthcare Partners has announced the closing of its first discretionary private equity fund with $312 million. Focus Senior Housing Fund I LP will target senior housing properties across the continental United...more

Alert: New Tax Court Decision Opens the Door for Tax Planning for Non-US Investors into US LLCs

by Cooley LLP on

On July 13, 2017, the US Tax Court issued a decision which may provide non-US investors more flexibility and potentially better tax outcomes with respect to structuring their investments into US LLCs and partnerships....more

SEC and U.S. Attorney’s Office Bring Action Against Promoter of Bitcoin Store, Inc.

by Perkins Coie on

On June 30, 2017, the SEC and the U.S. Attorney brought parallel civil and criminal fraud charges against Renwick Haddow, the owner of an unregistered broker-dealer entity named InCrowd Equity Inc., and two corporate entities...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 6

Canadian Bail-in and TLAC Rules: Impact on Structured Notes Offered in the United States - Introduction - In June 2017, the Canadian government released draft regulations relating to “bail-in instruments” issued by...more

Blog: SEC Chair Jay Clayton Discusses Principles Guiding His Tenure At The SEC

by Cooley LLP on

In his first public speech as SEC Chair, Jay Clayton outlined for the Economic Club of New York eight principles that he aims to guide his tenure as Chair. In discussing these principles and some ways in which he plans to put...more

2017 Digital Health Funding For Emerging Companies Setting Records

by Cozen O'Connor on

2017 is setting records for the funding of digital health emerging companies according to two recent reports. Two leading digital health stakeholders StartUp Health and Rock Health published separate reports in the last two...more

Applying Georgia's Angel Investor Tax Credits to Convertible Promissory Notes

by Taylor English Duma LLP on

A friend recently asked if the Georgia Angel Investor Tax Credit program would cover an angel investor’s investment in a start-up’s convertible promissory note. It was a good question because start-ups often raise funds...more

Office of Tax Simplification Recommendations for Reform of Stamp Duty on Paper Documents

by Goodwin on

On 10 July 2017 the Office of Tax Simplification (OTS), the independent adviser to the government on tax simplification, released its recommendations following its review of stamp duty on paper documents. Whilst the proposals...more

Singapore Legal Update - June 2017

by Allen & Overy LLP on

Foreign Companies May Restructure under the New Singapore Insolvency Provision - The insolvency provisions of the Companies (Amendment) Act 2017 came into force on 23 May 2017. They set up a new restructuring framework...more

Five Questions for Investors in Insurtech

Decisions you make when founding and/or investing in an insurtech venture can dictate your regulatory obligations, tax liability, operational structure and, ultimately, profitability. Here are five seemingly simple...more

Investor Advocate’s Report

Recently, the SEC’s Office of Investor Advocate released the report it is required to file with the Committee on Banking, Housing and Urban Affairs of the U.S. Senate and the Committee on Financial Services of the House of...more

Go West: Venture Financings and Expansion Projects in the United States

At $15 billion, venture capital and private equity investment flow from the United States into Germany in Q1 2017 is already triple the levels of the prior two years. As the U.S. and German tech ecosystems become more closely...more

Second Circuit Clarifies Class Certification Requirements in Significant Securities Class Action Decision

On July 7, 2017, the U.S. Court of Appeals for the Second Circuit offered significant guidance regarding the circuit’s class certification requirements in In re Petrobras Securities, No. 16-1914. In addressing an issue of...more

Healthcare & Life Sciences Private Equity Deal Tracker: Pamlico Invests in Becker’s Healthcare

by McGuireWoods LLP on

Becker’s Healthcare, based in Chicago, is an information and media platform targeting specific healthcare verticals: hospitals, ambulatory surgery centers, spine and orthopedics, and infection control and clinical quality. It...more

The Commencement of the Long-Awaited China-Hong Kong Bond Connect

by K&L Gates LLP on

At present, the China bond market is the third largest in the world after the USA and Japan. In order to further promote the China bond market, the People’s Bank of China (“PBC”) and the Hong Kong Monetary Authority (“HKMA”)...more

Healthcare & Life Sciences Private Equity Deal Tracker: Intelligent Retinal Imaging Systems Closes Round of Series B Financing

by McGuireWoods LLP on

Intelligent Retinal Imaging Systems (IRIS) has announced it has successfully closed a round of Series B financing. IRIS, based in Pensacola, Fla., is a developer of early detection systems for diabetic eye disease....more

SCOTUS to Settle Circuit Split on Rule Applicable to Recharacterization of Debt to Equity Disputes

The Supreme Court has granted certiorari to decide the question of whether bankruptcy courts should apply state law or a federal rule of decision when determining whether to recharacterize a debt claim as a capital...more

Update: Dubai International Financial Centre (“DIFC”) Based Entities Allowed to Own Properties Registered with the Dubai Land...

by K&L Gates LLP on

The DLD and the Dubai International Financial Centre Authority (“DIFCA”) entered into a Memorandum of Understanding (“MoU”) on 4 May 2017 which allows DIFC entities to purchase property and register real estate title with the...more

Baird Capital Closes Global Fund at $310 Million

by McGuireWoods LLP on

Baird Capital has announced it has closed its first global fund with a total of approximately $310 million. The fund invests in lower middle-market companies in healthcare and other sectors in the United States, United...more

Financial Conduct Authority’s Asset Management Review – Authorised Funds Shake Up

On 28 June 2017, the Financial Conduct Authority (FCA) published the Asset Management Market Study Final Report (the “Asset Management Review”) as well as a Consultation Paper setting out some proposed changes to the FCA’s...more

In Dispute Over Partnership’s Conversion to LLC, Court Finds No Duty to “Spoon-Feed” Sophisticated Investor

by Farrell Fritz, P.C. on

Pay attention to your K-1s or they may come back to bite you, is the lesson of Bruder v Hillman, Docket No. A-5055-15T1 [N.J. Super. Ct. App. Div. June 27, 2017], decided last week by a New Jersey appellate panel which...more

ETF Operational and Regulatory Environment Drives ETF Overisght Issues

by K&L Gates LLP on

Exchange-traded funds share many governance oversight characteristics with traditional mutual funds. While some ETFs have been structured as unit investment trusts that lack a board structure, most ETFs are classi¬ ed as...more

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