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Securities Transportation

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

Energy and infrastructure project bankability in Africa: making the right choices

by DLA Piper on

During Africa Week, and in association with FTI Consulting Inc., and along with many friends and associates, we explored the myriad of factors influencing investment decisions in energy and infrastructure project success in...more

Global Privacy & Cybersecurity Update Vol. 16

by Jones Day on

UNITED STATES - Regulatory—Policy, Best Practices, and Standards - United States and China Renew Promise Not to Hack - On October 4, U.S. and Chinese officials agreed to not engage in targeted hacking. Per a...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The latest on the economic woes on Venezuela, including the status of the country’s bonds and the foreign investors that they’ve attracted (and who are now selling)....more

Under The Dome: Inside The Maine State House

by Pierce Atwood LLP on

Legislature Sustains Governor's Veto of Marijuana Implementation Legislation - On Monday, November 6, the Legislature met for the second day of the Special Session to take up the Governor’s veto of the marijuana...more

China Prioritises Environmental, Social, and Governance Factors in Overseas Investment

by Latham & Watkins LLP on

The Chinese government has announced a US$4 trillion investment in developing infrastructure globally under the “Belt and Road Initiative” (BRI). Under the BRI the Chinese government will spend US$750 billion on overseas...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Deutsche Borse CEO Carsten Kengeter announced yesterday that he’ll step down in the wake of insider-trading allegations related to the exchange’s now-defunct merger with the London Stock Exchange Group....more

39th International Conference of Data Protection and Privacy Commissioners publishes Resolution on Data Protection in Automated...

by Reed Smith on

The 39th International Conference of Data Protection and Privacy Commissioners in Hong Kong published a Resolution on Data Protection in Automated and Connected Vehicles, which sets out fundamental data protection...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

While the Journal considers the ever-growing list of headaches for Khosrowshahi, including a new federal bribery probe over potential Uber FCPA violations....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The US’s biggest banks had a good day yesterday on news that they “breezed through” the first phase of the Federal Reserve’s annual stress tests—a good sign that they “have enough capital to withstand the type of financial...more

Faulty New Computer System Results in SEC Bringing MD&A Related Charges

The SEC recently brought charges against the CEO and CFO of UTi Worldwide Inc. in a settled enforcement proceeding. The Company was engaged in multinational freight forwarding and logistics operations. In connection with its...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Uber made waves yesterday by firing 20 employees as part of an internal investigation into sexual harassment and other unsavory aspects of its workplace culture....more

Minimize the Risk of External Whistleblower Activity

by Foley & Lardner LLP on

External whistleblower activity can be very costly in the auto industry. As the industry continues to develop, prevention of whistleblower claims will only grow in importance. It’s an issue that can impact every company...more

Corporate Investigations and White Collar Defense - February 2017

When Regulatory Failings Turn Criminal: Car Edition Redux - Why it matters: To paraphrase the famous quote from the film “All About Eve”: Fasten your seatbelts, it’s going to be a bumpy car ride. In the first part of...more

China’s State Council Announces Expanded Opening to Foreign Investment

by WilmerHale on

On January 17, China's State Council published the Notice on Several Measures on Increasing of Openness to Foreign Investment and Active Use of Foreign Investment (Guo Fa [2017] No. 5). The notice is intended to expand...more

SEC – GM Settle Internal Controls Action

by Dorsey & Whitney LLP on

Effective internal controls are critical to any organization. The Commission has focused on these controls, brining enforcement actions in recent months tied to internal control issues. Its latest case in this area names...more

Port Authority of New York and New Jersey to Settle SEC Disclosure Law Violations - Agrees to Admit Wrongdoing and Pay Penalty for...

by Holland & Knight LLP on

The U.S. Securities and Exchange Commission (SEC) announced on Jan. 10, 2017, that the Port Authority of New York and New Jersey (Port Authority) agreed to admit wrongdoing and pay a $400,000 penalty in connection with...more

SEC Scores First Muni Issuer's Admission of Wrongdoing

by Burr & Forman on

The Port Authority of New York and New Jersey has admitted wrongdoing and agreed to pay a $400,000 penalty to settle SEC charges that it failed to adequately disclose project risks to investors purchasing $2.3 billion in...more

NY-NJ Port Authority Admits Violating Federal Securities Laws

by Dorsey & Whitney LLP on

The Port Authority of New York and New Jersey is a significant participant in the capital markets with about $20 billion in debt outstanding. Tracing its history to 1921 when the two states entered into an interstate compact...more

The Northern Powerhouse and wider opportunities for Chinese investment in UK infrastructure

by Dentons on

On 10 November, the eighth UK-China Economic and Financial Dialogue, a two day event aimed at further deepening the countries' trade relationship, was brought to a conclusion. In addition to roundtable talks on trade,...more

Compliance into the Weeds-Episode 22, United Airlines SEC enforcement action

by Thomas Fox on

In this episode Matt Kelly and I take deep dive into the United Airlines SEC enforcement action for violation of internal controls around its reinstitution of a route from Newark to South Carolina at the insistence of the...more

United Airlines Settles with SEC for Side-Stepping Its Own Anti-Corruption Controls: Management Override for a Ride Over to South...

In a settlement highlighting the need for public companies to implement – and adhere to – effective internal controls, United Airlines “United” recently paid a $2.4 million civil penalty to the Securities and Exchange...more

The Chairman’s Flight and the US Corrupt Practices Act

by Thomas Fox on

Earlier this week a most interesting non-Foreign Corrupt Practices Act (FCPA) bribery and corruption enforcement, actions was announced by the Securities and Exchange Commission (SEC). It involved a clear quid pro quo benefit...more

SEC, United Settle Internal Controls Case

by Dorsey & Whitney LLP on

When the Foreign Corrupt Practices Act was passed, a key portion of the statute centered on the books and records and internal control provisions written by the Commission. While the bribery provisions only apply to foreign...more

The Domestic Corrupt Practices Act Arrives According to the SEC

The Securities and Exchange Commission announced that the parent company of United Airlines has agreed to pay $2.4 million to settle charges for providing a public official with more convenient flight options. The parent...more

Embraer’s FCPA Deferred Prosecution Agreement and $205 Million Payment Demonstrate Need for Adequate Internal Controls

Brazilian aircraft manufacturer Embraer SA (“Embraer”) will pay the United States government $205 million to settle allegations that the company violated the Foreign Corrupt Practices Act (“FCPA”) by paying millions in bribes...more

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