News & Analysis as of

Financial Markets

SEC Nixes 40 Act Registration of Cryptocurrency Related Funds for Now

In a letter to representatives of the Investment Company Institute and the Securities Industry and Financial Markets Association, the SEC staff indicated it would not be receptive to 1940 Act registration of cryptocurrency...more

Orrick's Financial Industry Week In Review

CFTC Approves Amendments to Rules on Intermediary Registration and Review of Adverse Actions - On January 9, 2018, the U.S. Commodity Futures Trading Commission (the "CFTC") approved final rules that update Parts 3 and 9...more

FinTech Update: Emerging Legal Trends Regarding Blockchain Technology

by Burr & Forman on

Over the course of the past few years, Blockchain technology – a platform that acts as a digital ledger for assets – has rapidly grown in prominence. While it is perhaps most well-known for its connection to Bitcoin, the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

NYSE owner Intercontinental Exchange is looking to do the as-yet inconceivable: bring some order to cryptocurrencies. The plan, announced yesterday, is to launch a data feed that pull info from cryptocurrency exchanges around...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Dow closed above 26k yesterday for the first time on what some are dubbing the FOMO rally or the “melt-up” market....more

A star strategy for predicting earnings season hits and misses

It’s January and the beginning, once again, of a busy period for financial market participants as earnings season anticipation begins. Earnings surprises and consensus revisions are well-known drivers of stock price movements...more

Regulators Continue to Scrutinize Initial Coin Offerings

by Carlton Fields on

As reported in the most recent issue of Expect Focus, the SEC issued an investigative report in July cautioning market participants that distributed ledger (blockchain) technology-based offers and sales of digital "tokens" or...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Times explores the $27 billion in fixed-income-trading income that has seeped out of Wall Street over the past 5 years thanks to “a combination of tough regulations, new technologies, calm markets and changing customer...more

Green bonds – building optionality for issuers into programme documentation

by White & Case LLP on

Since their introduction in 2007, green bonds issuances have exponentially increased in volume and have become a necessary product for bond issuers to offer their investor base. In view of this, bond issuers are increasingly...more

Bitcoin, Blockchain and Consumer Protection Laws

by Holland & Knight LLP on

• Unsophisticated consumers eager to make a profit remain susceptible to representations by companies that are false and misleading, and constitute deceptive acts or practices in violation of the Federal Trade Commission...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

AT&T has dropped plans to sell the Mate 10—the newest smartphone from China’s Huawei Technologies—just before the partnership was to be announced. AT&T gave no reasons for its abrupt reversal, but lawmakers have recently...more

MiFID II and commissions: Implications for technology costs

New MiFID II rules around which services buy-side firms may pay for through commission payments with brokers makes an important distinction....more

SEC Cyber Unit Increases Efforts to Regulate Crypto-Currency

by Nossaman LLP on

Based on how 2017 ended, entities and individuals in the crypto-currency markets should expect increased scrutiny from the United States Securities and Exchange Commission (“SEC”) in 2018. The SEC’s Cyber Unit commenced its...more

ESMA Provides Further Information on Transitional Transparency Calculations

ESMA has recently provided a number of updates to its frequently asked questions as well as a press release in relation to the transitional transparency calculations (“TTCs“) which are relevant to MiFid II and MiFIR. The TTCs...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

China has put the kibosh on micro-lending, a move that has cut short not just the consumer loans themselves but the giant asset-backed securities market—a $37 billion industry in China last year alone. The new curbs have had...more

Corporate treasurers have their say on 2018 challenges

Corporate treasurers play an increasingly critical role as advisors to their organizations. What are the biggest challenges they see in 2018 and what are the regulations that will most affect their business? ...more

Rating Agency Developments

On December 27, 2017 DBRS published an updated rating methodology for Operational Risk Assessment for U.S. ABS Originators. On December 29, 2017 Moody’s published a performance review for Global Structured Finance...more

LEI delay helps firms but the pressure is still on

On December 20, 2017, the European Securities and Markets Authority (ESMA) announced a six month Legal Entity Identifiers (LEI) grace period, but firms must be in the process of obtaining client LEIs. You need the insight...more

Regulation Round Up - December 2017

by Proskauer Rose LLP on

1 December - The Financial Conduct Authority (FCA) published its 19th quarterly consultation paper (CP17/39). The proposed changes to the FCA Rules include changes to the FCA's Decision Procedure and Penalties manual,...more

Hong Kong's Listing Regime – The Way Forward

by Hogan Lovells on

With overwhelming market support, The Stock Exchange of Hong Kong Limited has concluded that Hong Kong's listing regime must be expanded to remain competitive amidst a changing global capital environment. Please see full...more

The SEC and Plaintiffs’ Class Action Attorneys Are Targeting Initial Coin Offerings

by Fenwick & West LLP on

Issuers and other professionals participating in Initial Coin Offerings — widely known as ICOs — are facing the increasing threat of both U.S. Securities Exchange Commission enforcement actions and private class action suits...more

NYSE amends rule on issuance of material news to prohibit release immediately after market close

by Hogan Lovells on

On December 4, the SEC approved a New York Stock Exchange rule change that prohibits the issuance of material news by listed companies in the period immediately after the official closing time for the NYSE’s trading session...more

CFTC and European Commission Implement Common Approach on Certain Derivatives Trading Venues

Both U.S. and European Union (EU) law require that certain swaps and derivatives trades take place only on approved trading platforms. On October 13, 2017, Commodity Futures Trading Commission (CFTC or Commission) Chairman J....more

Company Abandons ICO, Agrees to Cease-and-Desist; SEC Chairman Issues ICO Warning

by Farrell Fritz, P.C. on

December 11, 2017 was a day of reckoning for entrepreneurs conducting or contemplating initial coin offerings, and for securities professionals who advise them. ...more

Increased Flex Amid Record Liquidity in European Leveraged Loans Requires Careful Navigation by PE Firms

by Latham & Watkins LLP on

The European leveraged loan market is going from strength to strength, with a continuing surplus of available credit compared to deal requirements, resulting in very borrower-favourable terms. However, we are seeing signs of...more

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Cybersecurity

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