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

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

Cain Takes the Reins as Chief of SEC’s FCPA Unit

by Moore & Van Allen PLLC on

With the official announcement that Charles Cain will replace Kara Brockmeyer as head of the SEC’s Foreign Corrupt Practices Act (FCPA) Unit, it is more likely that we will see a return to the enforcement trends and outcomes...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

Sudan Now Open For Business, But Risks Remain

On October 12, 2017, the United States made permanent its lifting of a longtime general embargo on trade and investment with Sudan. As a result, U.S. individuals and companies are now generally free to engage in transactions...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

House Tax Reform Bill Released: Would Cause Major Changes to US Tax System

by Dechert LLP on

The U.S. House of Representatives GOP conference released its long-awaited tax reform bill, the Tax Cuts and Jobs Act (the “House Bill”), on Thursday, November 2, 2017. ...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

MiFID II and PRIIPs: The final countdown begins

by Dechert LLP on

It is now only two months until the 3 January 2018 compliance deadline for the revised Markets in Financial Instruments Directive (MiFID II) and the 1 January 2018 compliance deadline for the EU Packaged Retail Investment and...more

Washington Seeks New Regulation of Technology Investments: What You Need to Know Now About the Proposed CFIUS Legislation

On November 8, 2017, a bipartisan coalition in Congress introduced the Foreign Investment Risk Review Modernization Act (FIRRMA), which would greatly expand the reach and consequence of the Committee on Foreign Investment in...more

SEC Issues No-Action Letters to Ease U.S. and MiFID II Compliance; EC Issues Guidance on MiFID II Advisers’ Receipt of Research...

by Ropes & Gray LLP on

On October 26, 2017, the SEC staff issued three no-action letters to, respectively, the Investment Company Institute (the “ICI Letter”), the Securities Industry and Financial Markets Association’s Asset Management Group (the...more

Tax Reform Bill May Eliminate Need to Limit Credit Support Attributable to CFCs for US Corporate Borrowers

by White & Case LLP on

Under current law, the direct or indirect pledge of the assets of a "controlled foreign corporation" (a "CFC") as collateral security for, among other things, a borrowing of a US person is treated as an investment in US...more

12 O'Clock High-Episode 65, The First 100 Days as a New CCO

by Thomas Fox on

Imagine that you finally have been able to secure a new position as Chief Compliance Officer in the compliance field. Every company believes that they are ethical and that they certainly do business ethically but what are...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

More on the Saudi crackdown initiated by Crown Prince Mohammed bin Salman over the weekend, including the government’s move to confiscate and freeze more than $800 billion in assets from the detailed princes and other...more

Blockchain Week in Review – October #8

by Perkins Coie on

Below is a summary of some of the significant legal and regulatory actions that occurred over the past week. This alert is not intended to be a comprehensive list of all such developments, but rather a selection of...more

Day 6 of One Month to 360 Degrees of Communication in Compliance -Compliance and the Clash of Cultures

by Thomas Fox on

One of the more difficult things to predict in a merger and acquisition context is how the cultures of the two entities will merge. Further, while many mergers claim to be a ‘merger of equals’ the reality is far different as...more

Corporate News - November 2017

by Hogan Lovells on

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Breakingviews is raising an eyebrow at the news from yesterday about Broadcom’s unsolicited $105 billion offer for Qualcomm [the largest-ever proposed tech deal], especially in light of the “mountain of debt” Broadcom would...more

Europe as a Hub for Initial Coin Offerings?

by Latham & Watkins LLP on

Initial coin offerings (ICOs) involve issuers offering virtual coins or tokens that are created and disseminated using blockchain or distributed ledger technology. Virtual coins resemble cash in a number of ways but may also...more

Compliance Report-International Edition: Adam Davidson

by Thomas Fox on

In this episode, I have New Yorker writer and reporter Adam Davidson on his recent article entitled, "Piercing the Veil of Secrecy Shrouding the Trump Deal in the Republic of Georgia." In this article, Davidson looks at some...more

Day 5 of One Month to 360 Degrees of Communication in Compliance- Sharing to 360 Degrees of Communication

by Thomas Fox on

Why do people share information? The answer to that question has important implications for every compliance practitioner and compliance program. In the context of 360-degrees of communication, the sharing of information, was...more

Italy's Inside Information Disclosure Requirements Addressed in CONSOB Guidelines

by Jones Day on

The Situation: In July 2016, the Market Abuse Regulation ("MAR") came into effect, introducing detailed requirements for EU listed issuers regarding disclosure of inside information, with a view to fighting market...more

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