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UK Legislation Aligned With New EU Venture Capital and Social Entrepreneurship Regulation

by Shearman & Sterling LLP on

New UK secondary legislation has been laid before Parliament to make the necessary minor technical changes to align UK legislation with recently introduced changes to EU legislation. An EU regulation amending the European...more

Australian Securities Exchange Announces Decision to Implement Blockchain-Based Clearing and Settlement System

Blockchain advocates have been awaiting the final decision by ASX Ltd, the Australian Securities Exchange, as to whether ASX will replace its existing and aged CHESS registry, settlement and clearing system with a...more

Annual Compliance Obligation Reminders

by Vedder Price on

Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the...more

Are You KID-ing New EU Rules Require Information Documents to Be Supplied to Retail Investors

by Morgan Lewis on

The EU regulation on key information documents (KIDs) for packaged retail and insurance-based products (PRIIPs) took direct effect in the European Union on 1 January 2018. This LawFlash outlines at a high level the...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Each SEC Commissioner joined a statement saying “Thank you Jacob” and fair well to perhaps the longest tenured staff member at the agency, Jacob Stillman. Jake joined the staff in 1962 and served in various capacities for 55...more

Orrick's Financial Industry Week In Review

SEC OCIE Examinations Announces 2018 Examination Priorities - On February 7, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its 2018 examination...more

This Week in FCPA-Episode 90, the Carbon Copy edition

by Thomas Fox on

In this episode, Jay Rosen and myself take a look at some of the top compliance stories over the past week. 1. A very interesting article by T. Markus Funk and Andrew Boutros entitled, "The Evolution and Status of 'Carbon...more

Financial Regulatory Developments Focus - February 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

CSA Issues Revised Staff Notice Issuers with U.S. Marijuana-Related Activities

by Bennett Jones LLP on

On February 8, the Canadian Securities Administrators (CSA) issued an updated Staff Notice on the treatment of issuers with U.S. marijuana-related activities. While Canada works toward a July 2018 deadline for the rollout of...more

SEC v. PlexCorps — Cyber Unit Enforcement Action Underscores Potential Challenges to Cross-Border Cryptocurrency Enforcement

by Ropes & Gray LLP on

Following the hype of Bitcoin, regulatory and other concerns surrounding various forms of cryptocurrency and initial coin offerings (“ICOs”) have taken center stage. As of late last year, the U.S. Securities and Exchange...more

FCPA Compliance Report-Episode 370 Carlos Ayres on 2017 Brazilian Anti-Corruption Wrap Up and Going Forward into 2018

by Thomas Fox on

In this episode I visit with Carlos Ayres, partner at Medea, Ayres and Sarubbi in Sao Paulo. We visit on the past year in anti-corruption enforcement in Brazil and where it may lead in 2018. Carlos discusses the continued...more

ESMA 2018 Regulatory Work Program

On February 8, the European Securities and Markets Authority (“ESMA”) published its 2018 regulatory work program, which provides a detailed breakdown of the individual work streams outlined in the 2018 work program. The areas...more

US “TCJ Act” Tightening of CFC Rules Eliminates Common Approach To Post-Death Avoidance Of US Beneficiary Taxation

by Bryan Cave on

On December 22, 2017, President Trump signed into law H.R. 1 (Pub. L. No. 115-97), known as the Tax Cuts and Jobs Act (the “Act”). The Act is the first major overhaul of the Internal Revenue Code (the “Code”) in more than 30...more

Changes to the AIM Rules disclosure requirements

by Dentons on

Minor changes to the ongoing disclosure requirements in AIM Rule 26 have come into force, following AIM's designation as an SME Growth Market at the start of 2018. More significant changes relating to corporate governance...more

Affirmations of CPO and CTA registration exemptions are due by March 1, 2018

Persons claiming exemptions from registration as a commodity pool operator (CPO) or a commodity trading advisor (CTA) must affirm their exemptions by March 1, 2018. Pursuant to Commodity Futures Trading Commission (CFTC)...more

Compliance into the Weeds-Episode 70-AI in a Hotline App

by Thomas Fox on

In this episode, Matt Kelly and I go into the weeds on the fascinating subject relating to the intersection of compliance and technology: AI and hotlines. Matt blogged on and podcasted with Scott LaVictor, CEO of Neighborhood...more

ESMA Updates Q&As on Benchmark Regulation

On February 5, the European Securities and Markets Authority (“ESMA”) published an updated version of its Q&As on the implementation of the Regulation on indices used in financial instruments and financial contracts or to...more

Summary of New Tax Bill

This letter provides a summary of the material provisions of the new tax bill. In order to make this extraordinarily complex bill somewhat understandable, I have left off a number of details and simplified the discussion, so...more

Corp Fin Director Discusses Policy, Outreach and Future Areas of Focus

by WilmerHale on

Earlier this month, SEC Division of Corporation Finance Director William Hinman delivered the keynote address at the Practising Law Institute’s Seventeenth Annual Institute on Securities Regulation in Europe. Director Hinman...more

China’s Greater Bay Area Puts Hong Kong In The Lead As Super Connector To The World

by Dorsey & Whitney LLP on

China’s open door policy is further opening up to welcome the world for business. The country is now building a landmark megalopolis on its southern coast with the name the “Greater Bay Area” (the “GBA”). ...more

Second Circuit Affirms Dismissal Of Claims, Finding No Personal Jurisdiction Where Defendants Were Not "At Home" In The Forum And...

by Shearman & Sterling LLP on

On February 9, 2018, the United States Court of Appeals for the Second Circuit affirmed the dismissal of aiding and abetting claims against UBS AG, AIA LLC, and their affiliated entities and individuals. SPV Osus Ltd. v. UBS...more

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

by Foley Hoag LLP on

Investment Advisers- Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission ("SEC") or The Commonwealth of Massachusetts are required to review their compliance...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker-Dealer, Derivatives and UK/EU Developments

SEC/CORPORATE - SEC Approves NYSE Rule to Facilitate Listing Without an IPO - On February 2, the Securities and Exchange Commissions approved a New York Stock Exchange (NYSE) rule change that facilitates the listing...more

Hong Kong Securities and Futures Commission Proposes Raising Whitewash Approval Threshold

by Jones Day on

The Situation: The high level of certainty of obtaining shareholders' approval for whitewash waivers could lead to potential abuse by parties looking to obtain or consolidate control through whitewash transactions in Hong...more

Canadian Securities Administrators mandate additional disclosure in response to Sessions Memo

by Dentons on

On February 8, 2018, the Canadian Securities Administrators (the CSA) published revised CSA Staff Notice 51-352 - Issuers with US Marijuana-Related Activities (the Notice), which sets out the CSA staff’s disclosure...more

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