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Securities Marketing

Davis Wright Tremaine LLP

Bona Fide Market Making Activity Should Include Trading Interest Other Than Quotations

As part of a recent rulemaking, the Securities and Exchange Commission ("Commission" or "SEC") adopted Rule 3a5-4 to include certain liquidity providers within the meaning of the phrase "as a part of a regular business" in...more

Akin Gump Strauss Hauer & Feld LLP

SEC Releases Risk Alert on EXAMS Process

Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents* I. Introduction - The SEC-registered investment adviser (“adviser”) population is large and diverse, ranging from global asset managers...more

Dechert LLP

FCA issues final rules for marketing cryptoassets in the UK

Dechert LLP on

Financial promotions of qualifying cryptoassets are now within the scope of the UK financial promotion regime. The FCA has published its final policy statement on rules for communicating financial promotions of qualifying...more

DarrowEverett LLP

Should Influencers Be Held Liable for the Promotion of Digital Assets?

DarrowEverett LLP on

The world’s ever-changing technological landscape has led to the formation of new mediums of creativity — mediums that the sports and entertainment industry cannot ignore. Digital currencies, virtual universes, and enhanced...more

A&O Shearman

UK Conduct Authority Consults on Wide-Ranging Change to Financial Promotion Rules

A&O Shearman on

The U.K. Financial Conduct Authority has launched a consultation on proposed changes to the financial promotion rules. The proposals range from rules relating to the approval by authorized firms of financial promotions of...more

Proskauer - The Capital Commitment

The Top Ten Regulatory and Litigation Risks for Private Funds in 2017

Private investment funds and advisers are likely to face new regulatory challenges and increased litigation risks in 2017, not only because of a change in the administration, but also because many advisers have not corrected...more

Skadden, Arps, Slate, Meagher & Flom LLP

"AIFMD Passport: Europe Must Try Harder"

On July 30, 2015, the pan-EU securities regulator, European Securities and Markets Authority (ESMA), published two papers covering the application of the marketing “passport” under the Alternative Investment Fund Managers...more

Manatt, Phelps & Phillips, LLP

Properly Structured Sales and Marketing Programs for Condo Hotel Developers Are Imperative Under Salameh

Last month the Ninth Circuit Court of Appeals issued an important opinion that could establish a safe harbor to protect condominium hotels from being characterized as securities under federal and state securities laws. In...more

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