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Final EU Guidelines on Internalized Settlement Reporting Under the Central Securities Depositories Regulation

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published final Guidelines on Internalized Settlement Reporting under the Central Securities Depositories Regulation. The CSDR, which introduces common standards for...more

FCPA Compliance Report-Episode 379, Steve Durham on $83MM SEC Whistleblower Award

by Thomas Fox on

In March the SEC made its biggest-ever whistleblower award. It gave one person more than $33 million and in the same case split nearly $50 million between two others. The previous high for an SEC award to a single...more

Recent Developments in Activist Investing in Japan

by White & Case LLP on

Activist investor Oasis Management receives 90% approval for its proposals from minority shareholders at Tokyo Stock Exchange (ticker: 9449) listed GMO Internet Global activist investor trends in recent years...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

One firm and three of its officers were named as defendants in a Commission enforcement action that could have been cloned from earlier remarks of Chairman Clayton about cryptocurrency. In one speech the Chairman decried...more

Orrick's Financial Industry Week In Review

Federal Banking Agencies Issue Final Rule to Exempt Commercial Real Estate Transactions of $500,000 or Less from Appraisal Requirements: On April 2, 2018, the Board of Governors of the Federal Reserve System, the Federal...more

Regulators and Courts Clarify Virtual Currency Regulation, but Overall Framework Remains Murky

by Shearman & Sterling LLP on

This update serves to cover virtual currency regulatory developments over the past two months in the U.S., U.K. and EU. This follows our previous virtual currency regulatory updates as part of Shearman & Sterling’s FinTech...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

In what can only be deemed a major reversal, the White House has reportedly ordered its economic adviser and trade representative to study rejoining the Trans Pacific Partnership, just a year after yanking the US out of deal...more

This Week in FCPA-Episode 98, the Sox are back edition

by Thomas Fox on

With the Red Sox leading the AL with a 10-2 start and back to brawling with the NY Yankees, Jay Rosen and myself take a look at some of the top compliance stories over the past week. 1. Is there a new health care focus...more

SEC Sues Longfin Over Trades Following Acquisition of Cryptocurrency Company

by Goodwin on

The Securities and Exchange Commission (SEC) last week sued Longfin Corp., a financial technology company that recently entered the cryptocurrency space, as well as Longfin’s CEO and three others affiliated with the company....more

Financial Regulatory Developments Focus - April 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

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The full wrap of two days on the Hill for Zuck, including a Wednesday morning of generally more pointed questions from the House than he saw in the Senate....more

2018 Set to be the Breakthrough Year for Green Loans and Green Securitisations

by White & Case LLP on

European Leveraged Finance Alert Series: Issue 3, 2018 - While green bonds have been a high profile and popular instrument in the capital markets for the past few years, we expect 2018 to be a transformational year for the...more

UK Regulator Proposes Guidance on Obligations to Counter Insider Dealing and Market Manipulation

by Shearman & Sterling LLP on

The Financial Conduct Authority has launched a consultation on adding a proposed chapter on insider dealing and market manipulation to its Financial Crime Guide. The Financial Crime Guide is not part of the FCA's rules but it...more

EU Authority Seeks to Clarify the Third-Country Endorsement Regime for Credit Ratings

by Shearman & Sterling LLP on

The European Securities and Markets Authority has opened a consultation on proposed supplementary guidance on the application of the endorsement regime under the EU Credit Rating Agencies Regulation. The CRA Regulation...more

European Securities and Markets Authority Issues Final Guidelines for Position Calculation by Trade Repositories

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published finalized Guidelines on position calculation by trade repositories under the European Market Infrastructure Regulation. ESMA consulted on a draft version of the...more

European Securities and Markets Authority Confirms Product Intervention for Contracts for Difference and Binary Options

by Shearman & Sterling LLP on

The European Securities and Markets Authority has confirmed that it will use its product intervention powers under the Markets in Financial Instruments Regulation to prohibit the marketing, distribution and sale of binary...more

Foreign Policy: Canadian Securities Administrators Release New Foreign Issuer Exemption

The Canadian Securities Administrators (CSA) announced they will amend National Instrument 45-102 – Resale Restrictions (NI 45-102) and Companion Policy to NI 45-102 (45-102CP) (Amendments) to provide for a new prospectus...more

2018 Antitrust Annual Report

by Shearman & Sterling LLP on

Global law firm Shearman & Sterling publishes its sixth annual Antitrust Annual Report today. The 2018 Report discerns two key trends – a global resurgence of controls on foreign direct investment and the focus on ‘fairness’...more

SEC Settles Financial Fraud Action – With Admissions In The U.K.

by Dorsey & Whitney LLP on

The Commission has settled one action in which admissions were required since Jay Clayton became Chairman. In resolving its most recent financial fraud action the agency did not require the settling parties to make admissions...more

Southern District Of New York Dismisses Exchange Act Claims Alleging Failure To Properly Disclose Potential FCPA Violations

by Shearman & Sterling LLP on

On March 30, 2018, the United States District Court for the Southern District of New York dismissed with prejudice a class action complaint against Embraer S.A. (“Embraer” or the “Company”) and several of its officers,...more

Foreign Corrupt Practices Act Requires More Than a Policy

by Dorsey & Whitney LLP on

The recent settlement agreement between Kinross Gold Company and the Securities and Exchange Commission is a reminder to Canadian cross-listed companies that it is not enough to adopt a parent-company level anti-corruption...more

Innovation in Compliance Episode 4: Malfeasance Prevention and Detection for Greater Profitability with David McLaughlin

by Thomas Fox on

Fighting crime with AI? Sounds like a great sci-fi movie, but it’s a reality. Today’s guest, David McLaughlin, founder and CEO of QuantaVerse, uses next-gen AI systems to help root out fraud and other financial malfeasance....more

Corporate & Financial Weekly Digest, Featuring Topics on SEC and UK/EU/Brexit Developments

SEC/CORPORATE - Delaware State Bar Association Council Releases Proposed Amendments to the Delaware General Corporation Law - The Corporate Council of the Corporation Law Section of the Delaware State Bar Association...more

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

by Dechert LLP on

AIFMD - Updated MoUs - ESMA updated its table of EEA regulators on 15 March with who has signed MoUs with non-EEA regulators, for the purposes of cross-border marketing of AIFs. Slovenia and Croatia are still to sign up...more

Global Private Equity Newsletter - Winter/Spring 2018 Edition: Snapshot of Tax Act Changes for PE Funds and their Portfolio...

by Dechert LLP on

President Trump signed into law tax legislation commonly referred to as the Tax Cuts and Jobs Act (the “Tax Act”) on December 22, 2017. The Tax Act implemented the most far-reaching changes to the Internal Revenue Code (the...more

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