News & Analysis as of September 22, 2024

Financial Markets

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Financial Markets and Funds Quick Take | Issue 25

Katten Muchin Rosenman LLP on 4/18/2024

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Financial Markets and Funds Quick Take | Issue 23

Katten Muchin Rosenman LLP on 2/15/2024

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Financial Markets and Funds Quick Take | Issue 22

Katten Muchin Rosenman LLP on 1/17/2024

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

U.S. SEC Decision to Withdraw MiFID Relief Causing Turmoil for Research Providers and for Users of Research Services

King & Spalding on 9/19/2023

The EU Markets in Financial Instruments Directive II (“MiFID II”), which came into effect on January 3, 2018, raised concerns that U.S. broker-dealers that would receive “hard dollars” for research from firms subject to MiFID...more

MiFID II and the U.S. Investment Adviser Regime

A&O Shearman on 7/3/2023

The issue of how firms should pay for investment research continues to be a controversial topic in the financial markets. The U.S. has maintained the approach it adopted before the mid-2000s, which is to permit investment...more

IOSCO Proposes Policy Recommendations for the Regulation of Crypto Markets

Skadden, Arps, Slate, Meagher & Flom LLP on 6/13/2023

In May 2023, the board of the International Organization of Securities Commissions (IOSCO) published its Policy Recommendations for Crypto and Digital Asset Markets Consultation Report, which proposes 18 policies it plans to...more

Legitimate coercion or unlawful abuse? Assénagon and the power to bind the minority in liability management exercises revisited

White & Case LLP on 10/28/2022

Since the decision in Assénagon in 2012, there has been some doubt as to how much coercion can be applied in a consent solicitation that includes an "exit consent" and whether consents that seek to force detrimental economic...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Live from FIA L&C: Redefining the Scope of a “Trading Facility”

Cadwalader, Wickersham & Taft LLP on 5/3/2022

This week, attendees at the FIA L&C conference are gathered in Washington, D.C., for the first time in three years to discuss several issues with significant potential impact on the markets. One such issue is redefining the...more

Financial Daily Dose 10.12.2020 | Top Story: Court Rules Apple Doesn’t Have to Offer Fortnite in App Store

Robins Kaplan LLP on 10/12/2020

Big Friday win for Apple in its ongoing battle with Epic Games, as N.D. Cal. Federal Judge Yvonne Gonzalez Rogers ruled that Cook & Co. didn’t “need to reinstate the popular video game Fortnite in its App Store,” a blow to...more

Financial Daily Dose 8.5.2020 | Top Story: Top Story: Ford Removes CEO Jim Hackett After 3 Years on the Job

Robins Kaplan LLP on 8/6/2020

Major shakeup at Ford, where CEO Jim Hackett is out after a three-year stint in which he “achieved mixed results” but didn’t impress Wall Street enough to keep his job. Ford has installed COO James Farley, a Toyota alum who’s...more

Financial Daily Dose 3.3.2020 | Top Story: Promised Central Bank Action Halts Market Slide (for now)

Robins Kaplan LLP on 3/3/2020

Despite news of additional COVID-19-related deaths and infections in America, central bankers appear to have bought at least one day of peace for US markets, which posted strong gains on a late surge on Monday, breaking a...more

Financial Daily Dose 10.30.2019 | Top Story: Fiat Chrysler and Peugeot in Merger Talks

Robins Kaplan LLP on 10/30/2019

Fiat Chrysler and France’s Peugeot are in the midst of merger talks that, if finalized, could “create a nearly $50 billion trans-Atlantic auto giant.” One option being bandied about in the “fluid” talks is an “all-share...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC's Proposal to Amend OTC Securities Quotation Rule, FINRA's...

Katten Muchin Rosenman LLP on 10/7/2019

BROKER-DEALER - SEC Proposes to Amend Quotation Rule for OTC Securities - The Securities and Exchange Commission (SEC) has proposed to amend Rule 15c2-11, which governs the publication and submission of quotations by...more

Financial Daily Dose 8.19.2019 | Top Story: US Weighing Huawei Reprieve to Smooth Trade Talks with China

Robins Kaplan LLP on 8/19/2019

The White House is reportedly extending the temporary license for some US businesses to work with Huawei, a move that would likely help smooth the way for trade negotiators between the US and China to see their way back to...more

SEC Staff Publishes Statement on Risks of Transition Away from LIBOR

Dorsey & Whitney LLP on 8/1/2019

As a continuation of our previous update on the phase-out of the London Interbank Overnight Rate (“LIBOR”) (April 30, 2019: What the LIBOR Phase-out Means for Debt Capital Market Participants), the Securities and Exchange...more

Blog: Time to revisit Brexit disclosure?

Cooley LLP on 7/24/2019

With Boris Johnson as the UK’s new PM—and given his enthusiasm for Brexit and threat to leave the EU by October 31 even with a “hard” Brexit—it might make sense for companies to revisit the observations of SEC officials...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 7/27/2018

U.S. Financial Industry Developments - SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems - On July 18, 2018, the Securities and Exchange Commission ("SEC") voted to adopt amendments...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 7/27/2018

Facebook’s disappointing Q2 earnings (and, presumably, some pent-up scandal-fueled anti-‘Book sentiment) sent its stock into freefall yesterday, erasing more than $120 billion from the company’s market value as shares dove...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 6/22/2018

U.S. Financial Industry Developments - Credit Agreements Will Require Important Updates If a Proposed New Delaware Law Is Passed - The Delaware legislature is currently contemplating an amendment to the Delaware Limited...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 3/20/2018

The Journal’s weekend report on Facebook’s role in the unauthorized use of data from 50 million users wreaked havoc on the ‘Book’s stock yesterday, with losses spreading across the tech sector (and fellow its FANGers in...more

Registered Firms: Annual Compliance Obligations—What You Need To Know

Pillsbury Winthrop Shaw Pittman LLP on 3/13/2018

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 3/1/2018

As has been buzzed about for several months, music-streaming startup Spotify has officially filed [directly] a prospectus for its listing on the New York Stock Exchange....more

Funds Talk: February 2018

Kramer Levin Naftalis & Frankel LLP on 2/2/2018

Global Regulators Increasingly Shifting Focus to Cryptocurrency - After years of allowing cryptocurrency transactions to fly under the radar, financial market regulators are beginning to turn their attention to virtual...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 1/26/2018

SEC Division of Investment Management Letter on Cryptocurrency Related Investment Products; Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions - On January 18, 2018, in a...more

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