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International Trade Securities

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

Financial Reporting for Foreign Private Issuers Before the SEC

by White and Williams LLP on

Under the current rules of the US Securities and Exchange Commission (SEC), foreign issuers are allowed to use International Financial Reporting Standards (IFRS) financial statements in their registration statements and...more

The European Securitisation Regulation: The Countdown Continues...

by Jones Day on

Draft Regulatory Technical Standards on Content and Format of the STS Notification - Regulation (EU) 2017/2402, which lays down a general framework for securitisation and creates a specific framework for simple,...more

Orrick's Financial Industry Week In Review

SEC Statement on Potentially Unlawful Online Platforms for Trading Digital Assets - On March 7, 2018, the Divisions of Enforcement and Trading and Markets of the Securities and Exchange Commission released a "Statement on...more

Is France going to strengthen its control over foreign direct investments again?

by Bryan Cave on

The current rules in France concerning the control over foreign direct investments arose from the deregulation of international capital flows which occurred worldwide, and especially in the United States and the European...more

Financial Regulatory Developments Focus - March 2018 #2

by Shearman & Sterling LLP on

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

European Commission Proposed Legislation to Regulate Cross-Border Crowdfunding Service Providers

by Shearman & Sterling LLP on

The European Commission has published a proposed Regulation on European Crowdfunding Service Providers for Business. The proposed ECSP Regulation is part of the EU Capital Markets Union initiative and the Commission's FinTech...more

New Tax Law May Result in Additional Taxes for Certain US Persons who Directly or Indirectly Own Equity in a Foreign Corporation

by White & Case LLP on

The new federal tax rules (informally known as the Tax Cuts and Jobs Act ("TCJA")), signed into law on December 22, 2017, significantly expand the situations in which a foreign corporation will be treated as a "controlled...more

President Blocks Hostile Takeover of Qualcomm Upon Recommendation from CFIUS

by Bryan Cave on

On March 12, 2018, President Trump issued an Executive Order blocking the proposed $117 billion hostile takeover of Qualcomm Incorporated by Broadcom Limited following a recommendation from the Committee on Foreign Investment...more

3 Ways to Avoid Surprises in Cross-Border Investigations Involving the Hong Kong SFC

by Kobre & Kim on

As global securities investigations and enforcement actions continue to proliferate, Hong Kong’s Securities and Futures Commission (SFC) recently strengthened its cross-border cooperation with peer agencies around the world,...more

New AIM Rules in force this month: all AIM issuers must now comply with a recognised corporate governance code

by Hogan Lovells on

The London Stock Exchange (LSE) has announced that its new AIM Rules for Companies (AIM Rules) and AIM Rules for Nominated Advisers (Nomad Rules) will come into force on 30 March 2018. ...more

12 O'Clock High-Episode 82, Leadership Lessons from Henry Worsley and Ernest Shackleton

by Thomas Fox on

In this podcast, I explore leadership lessons from the Antarctic explorer Ernest Shackleton and modern day Antarctic adventurer Henry Worsley. Henry Worsley and Ernest Shackleton are related by more than blood. They are...more

Asset Management Regulatory Roundup - March 2018 - Issue 5

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry.This issue includes details of proposed changes to the Financial Services Register to accommodate the Senior Managers...more

Compliance into the Weeds-Episode 74, Continued Fallout from Somers

by Thomas Fox on

In this episode, Matt Kelly and I continue our exploration of the fallout from the recent Supreme Court decision in Digital Realty Trust v. Somers in light of the filing by BioRad in its appeal of the whistleblower award to...more

How Can We Spark Difficult Compliance Discussions?

In this six minute interview with Susan Côté-Freeman, Senior Network Manager, The Conference Board of Canada, we exchange perspectives on how business and compliance leadership can spark uncomfortable conversations among...more

Red Notice Newsletter - Russian

ANTICORRUPTION DEVELOPMENTS – U.S. Agencies Decline to Prosecute Teradata for Alleged FCPA Violations – On February 26, 2018, Teradata Corporation, an Ohio-based enterprise software database management company,...more

Red Notice Newsletter - Chinese

ANTICORRUPTION DEVELOPMENTS – U.S. Agencies Decline to Prosecute Teradata for Alleged FCPA Violations – On February 26, 2018, Teradata Corporation, an Ohio-based enterprise software database management company,...more

SEC Settles FCPA Books and Records and Internal Controls Action

by Dorsey & Whitney LLP on

The SEC moved past virtual currencies for the moment, returning to a long established staple – the Foreign Corrupt Practices Act. The Commission filed a settled books and records action involving an Israeli based firm whose...more

Registered Firms: Annual Compliance Obligations—What You Need To Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

Hong Kong Offers New Capital Markets Opportunity for Life Sciences and Healthcare Companies

by Dorsey & Whitney LLP on

Historically, the US, and, in particular, the NASDAQ market, has been the predominant place for IPOs of life sciences and healthcare companies. However, 2018 may be the year in which things start to change....more

Financial Stability Board Publishes Reporting Guidelines for Global Securities Financing Data Collection

by Shearman & Sterling LLP on

The Financial Stability Board has published final Reporting Guidelines for implementing the November 2015 Global FSB Securities Financing Data Standards, which set out the standards and processes for global securities...more

Federal Judge Upholds CFTC’s Determination that Virtual Currencies Are Commodities

by Morrison & Foerster LLP on

In September 2015, the Commodity Futures Trading Commission (CFTC) stated in a settlement order that “Bitcoin and other virtual currencies are encompassed in the definition and properly defined as commodities” under the...more

Tourism: Taking Oman to the next level

by Dentons on

The Sultanate of Oman possesses a number of the key characteristics of a premier tourist destination – a diverse environment, unspoiled beaches, breath-taking mountains and a wealth of historical sites (including a number...more

Forms Issued for U.S. Mandatory Foreign Direct Investment Reporting

On March 5, 2018, the U.S. Department of Commerce's Bureau of Economic Analysis (BEA) issued its mandatory five-year benchmark survey to obtain data on foreign direct investment (FDI) in the United States. The survey, known...more

The SFC's enforcement priorities for 2018

by Hogan Lovells on

In late February, the SFC published its Enforcement Reporter setting out its enforcement priorities and approaches for 2018. The SFC emphasized its enhanced cross-divisional collaborative approach with more targeted...more

Cryptocurrencies and the fight against money laundering

As the global use of cryptocurrencies continues to gather momentum, what are the potential risks and implications for compliance professionals and how can they stay a step ahead of money launderers?...more

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