News & Analysis as of

Investment

SEC Extends Deadline for Fund Compliance With Classification-Related Elements of Liquidity Risk Management Rule

This week, the SEC adopted an interim rule (the Interim Rule) delaying by six months the compliance dates for classification-related aspects of Liquidity Risk Management Program requirements pursuant to Rule 22e-4 (the Rule)...more

Wealth management: Meeting high client expectations

The wealth management landscape is constantly evolving. Today’s investors have high expectations, demanding anytime, anywhere access to accounts and information, while expecting frictionless speed of updates and requiring...more

As fundraising methods continue to diversify, the DFSA provides a robust regulatory framework for equity and loan based...

by Hogan Lovells on

On 1 August 2017, the Dubai Financial Services Authority ("DFSA"), the regulator of financial services and securities in the Dubai International Financial Centre free zone ("DIFC"), introduced a regulatory framework for loan...more

Orrick’s Guide to Venture Capital Deals in Germany – 2018 Edition

Venture Capital Deals in GermanyNegotiating venture capital financing agreements for privately-held technology companies raises business, legal, tax, intellectual property, employment and liability issues. If you don’t get...more

Leading Private Equity Firms That Invest in Healthcare (Part VI)

by McGuireWoods LLP on

Throughout 2016 and 2017, we published a multi-part series highlighting leading private equity funds in healthcare. This publication is Part VI in that series. These investors are primarily funds that focus largely on...more

Cryptocurrency Roundup - Market Rebounds After SEC Chair Expresses Cautious Optimism But ETFs Are Still Off The Table...For Now

by Burr & Forman on

The cryptocurrency market took a nosedive earlier this month after the stock market tanked and the Peoples Bank of China issued a statement that it would block access to all domestic and foreign cryptocurrency exchanges. ...more

BlackRock Talks…And U.S. Companies Must Listen

In BlackRock CEO and Co-founder Larry Fink’s annual letter to companies on January 16, he issued a call to action for companies to have “a clear sense of purpose.” To BlackRock, having “a clear sense of purpose” means much...more

Investment Services Regulatory Update - February 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

JPM Conference Takeaways: Biotech and Biopharma Set for Growth in 2018

Coming off a year that saw a record number of new drug approvals, significant scientific breakthroughs and a year-end tax reform package that both significantly lowers corporate taxes and provides the long-awaited tax...more

Tax Reform Establishes Municipal Opportunity Zones for Investment

by Pullman & Comley, LLC on

Included in the recently enacted federal tax reform legislation is the Investing in Opportunity Act (the “Act”) which establishes the Opportunity Zones Program (the “Program”). The Program aims to spur private investment in...more

Decoding the Tax Cuts and Jobs Act – Part V: Changes to IRC §163(j) and the Business Interest Deduction Rules

by Garvey Schubert Barer on

“Neither a borrower nor a lender be...” or at least, if you insist on borrowing (and we understand the appeal), we are here to help you stay abreast of the new rules on deducting interest. BACKGROUND/PRIOR LAW - Interest...more

Massachusetts’ First ICO Enforcement Action Offers Important Lessons for Offshore ICOs

by Farrell Fritz, P.C. on

Last month, Secretary of the Commonwealth of Massachusetts William Galvin made good on his promise to conduct an exam sweep of ICOs in Massachusetts. On January 17, the Enforcement Section of the Massachusetts Securities...more

Measuring the success of sell-side research

When the cost and quality of research has never been under so much scrutiny, how is it possible for sell-side firms to objectively measure their performance?...more

Business Litigation Alert: "SEC Cracking Down on Cryptocurrency Scams"

by Porter Hedges LLP on

Cryptocurrency (e.g. Bitcoin) seems to be in the news on practically a daily basis, with people racing to get in on the latest investment trend and companies investigating how to best incorporate cryptocurrency and block...more

The ABCs of Investing in ICOs

by Pepper Hamilton LLP on

Initial coin offerings (ICOs) have recently become very popular, causing investors of all levels of sophistication to consider buying ICO tokens (or coins). Originally published in Crowdfund Insider - February 1,...more

No Direct Cause, No Restitution

A recent federal appellate decision shows there are limits to the ability of a regulator to claim monetary sanctions for statutory violations. Last week the 11th Circuit held that investors whose losses were solely associated...more

Return of confidence boosts 2017 investment banking

Global deal-making surpassed expectations in 2017, with M&A above US$3 trillion for the fourth year in a row. Matthew Toole, Director of Deals Intelligence, and John Foley, US Editor, of Reuters Breakingviews, look back at a...more

How FX markets are changing in 2018

With MiFID II regulations now in play, a new set of characteristics is emerging for FX markets in 2018. MiFID II rules are combining with other industry dynamics to shift the way FX markets function in 2018....more

Description of the Small Business Investment Company Program Participation by Unleveraged Funds

by Pepper Hamilton LLP on

A Small Business Investment Company (SBIC) is a privately owned and operated company that makes long-term investments in American small businesses and is licensed by the United States Small Business Administration (SBA)....more

Tax Reform's New Incentives for Investments in Low-Income Communities: Part 2

by Holland & Knight LLP on

• Part 1 of this series of Holland & Knight alerts described a new tax incentive contained in the Tax Cuts and Jobs Act for investments in low-income communities designated as "Opportunity Zones." Part 1 also explained the...more

9 Risk Factors To Consider When Making Digital Currency Investment Decisions

by Sherman & Howard L.L.C. on

January 22, 2018 – Although 2017 was a banner year for cryptocurrencies, with numerous digital tokens yielding blockbuster returns, institutional and individual investors alike should exercise caution when investing in...more

SEC and CFTC Issue Joint Statement on Virtual Currency Enforcement Actions

by Ballard Spahr LLP on

The following joint statement was issued this last week from the Enforcement Directors of the Securities Exchange Commission and Commodity Futures Trading Commission...more

FINRA Prioritizes Cryptocurrency Regulation in 2018

by Nossaman LLP on

Last week, I posted a blog about the SEC’s increased focus on cryptocurrency and ICOs in the coming year. It looks like that scrutiny will not be limited to the SEC. In its 2018 Annual Regulatory and Examination Priorities...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

Infrastructure Investment Is Republicans' 2018 Priority

by Hogan Lovells on

Congress has returned from the holiday recess with renewed focus on passing a major infrastructure package in 2018. Passage of a massive tax reform bill punctuated the president's first year in office with a major victory,...more

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Cybersecurity

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