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Securities Antitrust & Trade Regulation

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

Episode 22 -- Test and Evaluate Your Ethics and Compliance Program

by Michael Volkov on

As more companies implement ethics and compliance programs, chief compliance officers are increasingly focusing on the need to test and evaluate their compliance program. An effective testing program provides important...more

Caveat Emptor: Are Lengthier EC Merger Reviews the New Norm?

As merger reviews become more thorough and document-intensive, companies planning to engage in global M&A deals in 2018 should factor potentially lengthier merger reviews by the European Commission (EC) into their deal...more

Financial Services Weekly News - January 2018

by Goodwin on

Editor's Note - A Busy Holiday Season. We hope that all of you had a happy holiday season and wish everyone a happy, healthy and prosperous new year. While the Roundup has been on hiatus during the holidays, the federal...more

2017 Antitrust Year in Review

Wilson Sonsini Goodrich & Rosati (WSGR) is pleased to present its 2017 Antitrust Year in Review.In this report, we summarize the most significant antitrust matters and developments of the past year. We begin with a look at...more

CFIUS in 2017: A Momentous Year

It has been at least a decade since the Committee on Foreign Investment in the United States (CFIUS) was the subject of as much focus, change, and consequence as it was in 2017. Please see full Newsletter below for more...more

“Gun-jumping” – antitrust pre-closing risks and how to avoid them

by Dentons on

Competition authorities around the world – and in particular in Europe – have re-focused their attention on pre-closing behavior and transaction structures. These may conflict with antitrust rules in two ways: First,...more

Delaware Supreme Court Clarifies Significance of Deal Price in Appraisal Cases

• For the second time in 2017, the Delaware Supreme Court reversed a Chancery Court’s decision to assign little or no weight to deal price in appraisal cases • In both cases, the court remained firm in its decision not to...more

New Revenue Recognition Standard-Part IV, Auditors Need to Be Aware

by Thomas Fox on

Matt Kelly and I have put together a five-part podcast series where we explore implications of this new revenue recognition standard. In this episode IV, we consider auditors and the new revenue recognition standard,...more

State Aid in Disguise?—EC Investigates UK Tax Regime

by Jones Day on

The Background: The European Commission has opened an in-depth investigation into a specific provision of the UK-controlled foreign company rules. The Issue: The Commission will investigate whether the UK's so-called Group...more

Investing Intelligently in an E-Commerce Company: Challenges & Potential Innovations

by Dentons on

By 2027, Singapore’s e-commerce market is predicted to grow five-fold – to at least US $5.4 billion (S$7.5 billion), according to a study by Google and Temasek Holdings. E-commerce markets in other parts of Asia are also...more

Regulation Round Up - November 2017

by Proskauer Rose LLP on

3 November - The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...more

The 9th Circuit Rejects Securities Class Action Premised on Businesses’ Complaints About Yelp’s Practices

• The U.S. Court of Appeals for the 9th Circuit affirmed the dismissal of a securities fraud claim alleging that Yelp fraudulently inflated its stock price by misleading investors about its practices concerning the business...more

Celebrity Influencers Now Causing Trouble With … Investments?

The new trend in celebrity endorsements without disclosing connections or affiliations: promoting stocks and other investments, according to a Public Statement from the Securities and Exchange Commission....more

SEC And FTC Warn Celebrities Must Disclose Financial Connection For ICO Endorsements

by Ifrah PLLC on

Cryptocurrency is the latest trend to be embraced by celebrities, so much so that the federal government this month issued a warning about the possible risks involved. Both the U.S. Securities and Exchange Commission (SEC)...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

DealBook’s Common Sense column takes a look at the AT&T/Time Warner deal and the “battle lines” forming for an “epic” antitrust battle, in spite of the vertical nature of the merger (the companies don’t compete in any...more

Lessons for Private Equity Shareholders and Merging Parties from the FTC’s Challenge of Red Ventures/Bankrate

by Goodwin on

The Federal Trade Commission recently challenged Red Ventures’ proposed $1.4 billion acquisition of Bankrate, alleging it would lessen competition in the market for third-party paid referral services for senior living...more

Celebrity ICO Endorsements: SEC, FTC, and CFTC Oversight

by Reed Smith on

Floyd Mayweather, a world famous boxing champion, recently used his Twitter and Instagram accounts to help a company raise more than $30 million in an initial coin offering (“ICO”). Other celebrities have similarly...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

AT&T’s chief is weighing in the DOJ’s call to sell CNN in order to make its deal with Time Warner go through, and, as Randall sees it, “selling CNN makes no sense”....more

The FTC’s Challenge of Red Ventures–Bankrate: Antitrust Risks in Deals Backed by Private Equity Minority Shareholders

by Shearman & Sterling LLP on

On November 3, 2017, the Federal Trade Commission filed a complaint challenging Red Ventures’ proposed acquisition of Bankrate. The FTC alleged that the deal likely would have lessened competition in the market for...more

Red Notice Newsletter - October 2017

ANTICORRUPTION DEVELOPMENTS – Global Compliance Overhaul for SAP as DOJ and SEC Investigate Payments Allegedly Related to South African Government Contracts – On October 26, 2017, German software company SAP SE...more

The Perils of Compliance with the Russia Sanctions Program

by Michael Volkov on

The Ukraine-Russia Sanctions program is a complex set of executives orders, statutes and regulations defining prohibited business transactions with Russian entities and individuals. The sanctions program was instituted in...more

UK national security and infrastructure – tougher merger control ahead?

by Dentons on

On 17 October, the UK Government published a Green Paper reviewing national security implications of foreign ownership or control, as indicated in this year's Queen's Speech....more

CFTC and European Commission Make Progress on Cross-Border Agreements

On October 13, 2017, the Commodity Futures Trading Commission (CFTC) announced two cross-border developments with the European Commission (EC) that take significant steps toward reconciling regulation of cross-border...more

UK Competition and Markets Authority Highlights Potential Issues in Investment Consultancy and Fiduciary Management

by Shearman & Sterling LLP on

Following a market investigation reference from the Financial Conduct Authority, the Competition and Markets Authority has published the issues statement for the market investigation it is carrying out into the supply of...more

Reminder: Equity Compensation May Require Personal, Individual HSR Filings

by Goodwin on

Do you receive any form of equity-based compensation? Does your company grant any form of equity-based compensation? If so, it is critical to remember that common equity-based compensation, such as option exercises,...more

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