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

Blockchain Week in Review - February 2018

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

Hong Kong Cracks Down on Digital Tokens and Cryptocurrency Exchanges

by Jones Day on

The Situation: Surging interest in digital tokens has caught the attention of regulators in Hong Kong. The Development: Hong Kong's Securities and Futures Commission recently introduced additional regulatory measures, and...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The SEC prevailed on a summary judgment motion against Steven Metro, the key figure in the Grand Central insider trading case. The Court entered an injunction and imposed a $25,000 penalty, far less than the $2 million...more

European Commission Publishes Legislative Package for Cross-Border Distribution of Investment Funds

by Shearman & Sterling LLP on

As part of its work on creating a European Capital Markets Union, the European Commission has published a legislative package of amendments, comprising a proposed Regulation and a proposed Directive....more

This Week in FCPA-Episode 95, the March Madness is truly mad this year edition

by Thomas Fox on

In the midst of this true madness in the NCAA tournament this year, Jay Rosen and myself take a look at some of the top compliance stories over the past week. 1. Cambridge Analytica is in a world of trouble after stealing...more

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

SEC Charges UK Broker, Others With Manipulation

by Dorsey & Whitney LLP on

Since a priority for the Commission’s Enforcement Program is retail investors, a key area of focus is microcap fraud. Recently the agency filed two related microcap fraud actions centered on an FBI sting operation. SEC v....more

United States Issues New Venezuela-Related Sanctions Targeting Digital Currency

by White & Case LLP on

On March 19, 2018, President Trump expanded the scope of the Venezuela sanctions by issuing a new Executive Order (EO) "Taking Additional Steps to Address the Situation in Venezuela." The EO prohibits US persons from dealing...more

Across the Board-Episode 17, Marsha Ershaghi Hames on Board Accountability

by Thomas Fox on

In this episode I have back Dr. Marsha Ershaghi Hames, the Managing Director, Strategy at LRN. We discuss how leading with principles has become even more important after the current wave of corporate scandals all in the...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

Innovation in Compliance-Digital Transformations in Compliance with Vince Walden

by Thomas Fox on

The Innovation in Compliance Podcast is here! In this inaugural episode, I’m interviewing Ernst & Young partner and Big Data expert Vince Walden on the ways in which automation and data analytics are transforming the...more

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

BROKER-DEALER - SEC Proposes Transaction Fee Pilot Program On March 14, the Securities and Exchange Commission proposed new Rule 610T of Regulation National Market System (Reg NMS), which would create a Transaction Fee...more

FCPA Compliance Report-Episode 375, Steve Durham on Impact of Digital Realty Trust

by Thomas Fox on

In this episode, I welcome back Steve Durham, a partner with Labaton and Sucharow to discuss the continued reverberations from the recent Supreme Court decision narrowing the definition of whistleblowers in Digital Realty...more

This Week in Congress

by McGuireWoods LLP on

The House and Senate convene today at noon and 3 p.m., respectively. The FY 2018 omnibus bill will be hogging the spotlight this week, as lawmakers scramble to avoid a government shutdown. The deadline is March 23, and the...more

The Weekly Privacy Rewind

by BakerHostetler on

Class Actions - Facebook Cannot Evade Suit Under Illinois’ Biometric Information Privacy Act Even Where No Proof of Harm - In separate rulings handed down last week in the Northern District of California, the court...more

This Week in FCPA-Episode 94, the March Madness edition

by Thomas Fox on

1. March Madness is here. So is corruption in NCAA basketball. 2. Former FCPA Unit Head Chuck Duross says that self-reporting is still “probably not worth it”. 3. Elizabeth Holmes and Theranos were engaged in massive,...more

Financial Reporting for Foreign Private Issuers Before the SEC

by White and Williams LLP on

Under the current rules of the US Securities and Exchange Commission (SEC), foreign issuers are allowed to use International Financial Reporting Standards (IFRS) financial statements in their registration statements and...more

The European Securitisation Regulation: The Countdown Continues...

by Jones Day on

Draft Regulatory Technical Standards on Content and Format of the STS Notification - Regulation (EU) 2017/2402, which lays down a general framework for securitisation and creates a specific framework for simple,...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

Is France going to strengthen its control over foreign direct investments again?

by Bryan Cave on

The current rules in France concerning the control over foreign direct investments arose from the deregulation of international capital flows which occurred worldwide, and especially in the United States and the European...more

Financial Regulatory Developments Focus - March 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

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