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International Trade Securities Finance & Banking

Read need-to-know updates, commentary, and analysis on International Trade issues written by leading professionals.

ESMA Highlights EU Regulatory Rules Applicable to ICOs

by Latham & Watkins LLP on

ESMA has published two statements highlighting ICO risks for investors and EU regulatory rules applicable to issuers and advisors involved with ICOs. The European Securities and Markets Authority (ESMA) published two...more

Orrick's Financial Industry Week In Review

SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee - On November 9, 2017, the Securities and Exchange Commission ("SEC") announced the formation and first members of its Fixed...more

Day 13 of One Month to 360 Degrees of Communication in Compliance- Asking Questions to Boost Your Compliance Program

by Thomas Fox on

Other than the skill of listening, asking questions is about as important to the compliance practitioner as any other that can be employed. Yet, equally critical is to ask the right question....more

Singapore Simplifies Rules for Managers of Venture Capital Funds

by Jones Day on

The Situation: The Monetary Authority of Singapore ("MAS") has introduced a new simplified regulatory regime for managers ("VC Managers") of venture capital funds ("VC Funds"). The Impact: The new regime has simplified and...more

U.S. Congress Introduces Legislation to Change Foreign Direct Investment Review

by Jones Day on

Congress recently introduced two pieces of legislation that could significantly change foreign direct investment review in the United States. The Foreign Investment Risk Review Modernization Act of 2017 ("FIRRMA") seeks to...more

Department of the Treasury Issues Report Recommending U.S. Capital Markets Regulatory Reforms

by Jones Day on

The U.S. Department of the Treasury has issued a report to the President recommending extensive regulatory and legislative reforms to the U.S. capital markets. The recommendations, in response to the White House's executive...more

Financial Regulatory Developments Focus - November 2017

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

MiFID II, Research and Extraterritoriality: The SEC, European Commission and FCA Solution

by Shearman & Sterling LLP on

On October 26, 2017, the US Securities and Exchange Commission, European Commission and the UK Financial Conduct Authority released, in a coordinated manner, a series of significant orders and guidance to address some of the...more

Asset Management Regulatory Roundup - November 2017 - Issue 10

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the amendments to the European Venture Capital and Social Entrepreneurship Fund...more

Day 12 of One Month to 360 Degrees of Communication in Compliance- Communicating Across Cultural Boundaries

by Thomas Fox on

A 360-degree approach to communications entails looking at all forms of interactions as a way to interconnect. This means both verbal and non-verbal and in clues, hints in addition to directly. This concept can be...more

US Regulator Warns EU about Proposed Extraterritorial Overreach

by Shearman & Sterling LLP on

The Commodity Futures Trading Commission Chairman J. Christopher Giancarlo has authored an opinion piece in the Wall Street Journal warning of potential consequences if the European Union mishandles Britain's impending exit...more

Day 11 of One Month to 360 Degrees of Communication in Compliance- Multiplying the Influence of Compliance

by Thomas Fox on

What if you could multiple the impact and effectiveness of your compliance program throughout your company? That would be a great boon to any compliance practitioner and compliance program. It is also something that is very...more

Kyiv Tax Newsletter (Ukrainian) - November 2017

by Dentons on

Implementation of the provisions set out in the Law will result in enhanced quality of the financial statements in Ukraine and will ensure the performance of Ukraine’s obligations pursuant to the Ukraine–European Union...more

Kyiv Tax Newsletter - November 2017

by Dentons on

The President of Ukraine signed the Law “On Introduction of Amendments into the Law of Ukraine ‘On Accounting and Financial Statements in Ukraine’ in Connection with the Improvement of Certain Provisions.” Implementation...more

Compliance into the Weeds-Episode 60, Cardinal Health and Joint GC-CCO Role

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into the Cardinal Health corporate governance imbroglio. In it, a disgruntled shareholder, the Teamsters Pension fund brought a motion to have the CEO stripped of his title...more

Corporate and Financial Weekly Digest - Volume XII, Issue 43

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more

SEC Staff Issues No-Action Relief to Facilitate Implementation of MiFID II Research Provisions

by Goodwin on

On October 26, 2017, the staff (the Staff) of the U.S. Securities and Exchange Commission (SEC) issued three related no-action letters providing market participants with greater clarity as to how certain aspects of their...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The DOJ unsealed criminal charges against five individuals involved in the Rolls-Royce FCPA action previously brought by the DOJ, SFO and Brazilian authorities. The charges were filed in the Southern District of Ohio. Each...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Big news out of Uber this weekend, where the company and its board resolved outstanding issues with Travis Kalanick in order to finalize a deal in which a SoftBank-led consortium of investors will buy up about $1 billion of...more

Saudi Arabian Corruption Crackdown-What does it mean for Compliance?

by Thomas Fox on

In this episode, I am interviewed by Jonathan Armstrong, a partner at Cordery Compliance in London on the implications of the Saudi Arabian corruption crackdown for the compliance practitioner....more

Day 9 of One Month to 360 Degrees of Communication in Compliance- 360 Degrees of Persuasion

by Thomas Fox on

The life of a Chief Compliance Officer (CCO) can be intense and the one of the most powerful tools you have is persuasion. Jenny O’Brien, CCO at United Health Care, has talked about the techniques that a CCO can use to...more

FCPA Compliance Report-Episode 357, Paradise Papers and Saudi Arabia Corruption Crackdown

by Thomas Fox on

In this episode, I am interviewed by Jonathan Armstrong, a partner at Cordery Compliance in London on the implications of the Paradise Papers and Saudi Arabian corruption crackdown for the compliance practitioner. What...more

FIRRMA: Proposed CFIUS Legislation Would Bring Significant Changes

by White & Case LLP on

Senator John Cornyn (R-TX) and Representative Robert Pittenger (R-NC) have introduced parallel legislation that, if passed, would implement significant changes to the Committee on Foreign Investment in the United States...more

ESMA Clarifies Third Country Transitionals Under the EU Benchmarks Regulation

by Latham & Watkins LLP on

ESMA has published a new Q&A clarifying the transitional arrangements for third country benchmarks under the EU Benchmarks Regulation (BMR). Key Points: ..Non-EEA benchmarks that are being used in the EEA before 1...more

Orrick's Financial Industry Week In Review

European Commission Inception Impact Assessment on Legislative Proposal for EU Framework on Crowdfunding - On October 30, 2017, the European Commission published an inception impact assessment for a legislative proposal...more

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