News & Analysis as of

Securities International Trade General Business

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

UK Asset Management Regulatory Roundup - March 2018 - Issue 6

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 the FCA’s approach to authorisation; action taken on closet tracking funds; proposed EU...more

Financial Regulatory Developments Focus - March 2018 #3

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

2017 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review

by BakerHostetler on

As the first year of a new administration, 2017 was a year of transition in terms of both leadership and priorities of U.S. law enforcement agencies. Despite these changes, however, pre-existing trends in cross-border...more

Investment Services Regulatory Update - March 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - PROPOSED RULES - SEC Proposes Changes to Fund Liquidity Disclosure Requirements - On March 14, 2018, the SEC issued proposed amendments to the disclosure requirements...more

ASX Releases Continuous Disclosure Guidance on the Insolvent Trading Safe Harbour

by Jones Day on

On 9 March 2018, an updated version of the Australian Securities Exchange's ("ASX") Guidance Note 8 came into effect to include guidance on a listed entity's continuous disclosure obligations in the context of the new...more

Federal Court Adopts CFTC Position on Cryptocurrency Authority

In the first case of its kind, a New York federal district court has adopted the position of the Commodity Futures Trading Commission (CFTC) that it has jurisdiction to regulate the virtual currency markets. In so doing, the...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

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

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

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

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

The SEC Targets ICOs for Enforcement

by Michael Volkov on

I am always amazed at how “business” entrepreneurs ignore enforcement risks in the face of specific warnings from regulators.  The SEC and the CFTC have made it clear to the emerging initial coin offering (ICO) and...more

Hong Kong Exchange Publishes Draft Rules for Biotech Listings, Requests Comments

by Jones Day on

The Hong Kong Stock Exchange recently published a Consultation Paper on a Listing Regime for Companies from Emerging and Innovative Sectors, and proposed to introduce a new chapter implementing the listing of...more

Regulation Round Up - February 2018

by Proskauer Rose LLP on

1 February - The European Commission ("EC") launched the EU Blockchain Observatory and Forum in order to highlight key developments of blockchain technology, promote and reinforce European engagement with multiple...more

Orrick's Financial Industry Week In Review

Looking Out for Main Street: SEC Focuses on Retail, Cybersecurity and Cryptocurrency - The Commissioners and senior officials of the Securities and Exchange Commission ("SEC" or "Commission") addressed the public on...more

New York Department of Financial Services Guidance Complicates a Crowded Virtual Currency Regulatory Landscape

by McDermott Will & Emery on

On February 7, 2018, the New York Department of Financial Services issued “Guidance on Prevention of Market Manipulation and Other Wrongful Activity” imposing stringent reporting requirements of which virtual currency...more

Investment protection in Latin America: Mexico takes one step forward, Venezuela takes two steps back

by DLA Piper on

Mexico has signed the Convention on the Settlement of Investment Disputes between States and National of other States, better known as the Washington Convention or the ICSID Convention. This important development is expected...more

The DOJ’s New Officially Unofficial Policy May Enable Federally Regulated Business to Avoid Criminal Charges

Last November, Deputy Attorney General Rod Rosenstein announced a new enforcement policy. Under the new policy, businesses subject to the Foreign Corrupt Practices Act (“FCPA”) may avoid criminal liability by self-reporting...more

The European Securitisation Regulation: The Countdown Continues ESMA Consultation Paper—Draft Technical Standards on...

by Jones Day on

Regulation (EU) 2017/2402 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation ("Regulation") came into force on 18 January 2018 and will...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

MiFID II – Member State Transposition and Updated Q&A on Market Transparency - The European Commission updated its webpage on 13 February 2018 setting out member state transposition of MiFID II....more

Ahead of the game - perfecting your offshore acquisition strategy

by Dentons on

With a new year underway and relatively benign economic conditions prevailing (including low interest rates globally and lower US tax rates), cross border M&A is forecast to increase, driven by cashed up corporates out of...more

Renren Halts Initial Coin Offering Following Pressure from Chinese Regulatory Body

Renren Inc. (NYSE ticker RENN), a Beijing-based social network company, saw rapid growth in its stock price following the release of a whitepaper (in Chinese) and publicity over its intention to engage in an Initial Coin...more

SEC Temporarily Suspends Trading of UBI Blockchain Internet, Ltd. Over Questions as to Disclosure

On Monday January 8, 2018, the U.S. Securities and Exchange Commission (SEC) halted all trading in the stock of the Hong Kong-based firm, UBI Blockchain Internet, Ltd. (OTC ticker UBIA). “The commission is of the opinion that...more

3,901 Results
View per page
Page: of 157

Follow Securities Updates on:

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.