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Mayer Brown

Russia: Investment Protection and Arbitration | Part 2

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PART 2: LAUNCH OF THE REGISTER OF DAMAGE FOR UKRAINE - This week, the Register of Damage for Ukraine (the “Register”) officially launched, meaning that the claims submission process for those seeking compensation for the...more

Mayer Brown

Honduras Denounces the ICSID Convention; Investors with Potential Claims Should Quickly Analyze Their Options

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Honduras denounced the ICSID Convention via a written notice received by the World Bank on February 24, 2024. Under Article 71 of the ICSID Convention, such denunciations take effect six months from the date of receipt of the...more

Nelson Mullins Riley & Scarborough LLP

Emerging Issues in Crypto Bankruptcies

The new frontier of crypto bankruptcies brings with it unique challenges. As more crypto platforms face financial distress and insolvency, investors find themselves navigating the intricacies of the Bankruptcy Code in a...more

Proskauer - Minding Your Business

Exodus From The Energy Charter Treaty – What is Left of Europe’s Protections for Investors?

As of January 2024, France, Germany and Poland have officially withdrawn from the Energy Charter Treaty (ECT). Their decision to withdraw from the treaty follows a recent European Commission proposal for a mass exodus from...more

Mayer Brown Free Writings + Perspectives

SEC Office of the Investor Advocate Report

Recently, the SEC’s Office of the Investor Advocate released its Report on Activities for Fiscal Year 2023, which is required to be delivered to Congress. The Report highlights the work of the Office on investor protection...more

Latham & Watkins LLP

SEC Adopts Changes to Names Rule for Registered Funds

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The amendments aim to modernize the Names Rule and promote investor protection objectives by ensuring that a fund’s portfolio of holdings aligns with its name. The US Securities and Exchange Commission (the SEC or the...more

Ankura

Understanding the Crypto Ripple Effect

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On July 13, 2023, the Court ruled in partial favor of Ripple Labs Inc.’s argument that many of its XRP sales did not violate investor-protection laws. The ruling has sent the crypto world ablaze with speculation on the future...more

Carlton Fields

SEC Proposal Balances AI-Like Technology Use With Investor Best Interests: Has the Regulator Picked a Winner?

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Like other savvy businesses, investment advisers and broker-dealers have increasingly embraced the use of predictive data analytics, artificial intelligence, and similar technologies (AI-like technologies) to help generate...more

A&O Shearman

Proposed Global Policy Recommendations for Decentralized Finance

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On September 7, 2023, the International Organisation of Securities Commissions launched a consultation on proposed policy recommendations on market integrity and investor protection issues in decentralized finance (DeFi)....more

Stinson LLP

SEC Adopts Amendments to Form PF for Private Equity Funds

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On May 3, 2023, the Securities and Exchange Commission (SEC) voted to adopt certain amendments (Final Amendments) to Form PF reporting requirements. Form PF is a confidential, regulatory reporting form filed by SEC-registered...more

Shipkevich PLLC

New York AG Proposes Landmark Legislation to Regulate Crypto: Making a Bold Statement

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On May 5, 2023, the New York Attorney General, Letitia James, proposed a “landmark” bill to increase regulations (again) on the cryptocurrency industry, thereby supposedly protecting investors, consumers, and the broader...more

Robins Kaplan LLP

How an Investor Can Lose More Than Just Their Investment

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When evaluating an investment opportunity, a would-be investor’s risk analysis is usually limited to the potential loss of principal and related opportunity costs of the investment. But substantial investments in startups or...more

Goodwin

FINRA Reminds Firms of Trusted Contact Person Requirement, Benefits, and Related Effective Practices

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FINRA remains very focused on preventing financial exploitation of seniors and other investors. Firms can expect to see senior investor protection as a key area of focus in the forthcoming 2023 Report on FINRA’s Examination...more

Proskauer Rose LLP

Russian Sanctions: How Will They Impact Credit Default Swaps?

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Economic sanctions against Russia as a result of the invasion of Ukraine have had a broad impact on the global economy and have raised the question of whether Russia will be able to meet its obligations on foreign denominated...more

Wilson Sonsini Goodrich & Rosati

President Biden Signs Executive Order on Ensuring Responsible Development of Digital Assets

President Biden launched an effort to establish a federal digital assets policy strategy and coordinate the related work of federal regulators by signing the Executive Order on Ensuring Responsible Development of Digital...more

Mayer Brown Free Writings + Perspectives

SEC Proposal Significantly Impacts Private Fund Advisers and Investors

On February 9, 2022, the US Securities and Exchange Commission (the “SEC”) voted to propose a suite of new rules and amendments (the “Proposal”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). If...more

Farrell Fritz, P.C.

Protecting the Protected: SEC Proposes New Safeguards for Private Fund Investors

Farrell Fritz, P.C. on

The Securities and Exchange Commission just proposed new rules to protect investors in private investment funds. The proposed rules would require private fund advisers to disclose certain information and avoid certain...more

Cozen O'Connor

“Retread” Blowouts Create Hazards for Investors

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Recycled structured settlement payment streams have been the subject of much concern and scrutiny the past few years. These recycled payment streams are structured settlement annuity payments that were sold to a factoring...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Take extra precaution for COVID distributions

The Securities and Exchange Commission is urging professionals to take extra steps to ensure the safety of investors’ assets. ...more

White & Case LLP

New German law introduces electronic securities

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The law will make German financial markets more competitive, allowing issuers and investors to benefit from efficiencies and lower transaction costs. A new German law introducing electronic securities is expected to take...more

Jones Day

Vietnam Ratifies Its EU Free Trade Agreement and Other Investment Laws - Vietnam's executive body, the National Assembly, has...

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Vietnam's executive body, the National Assembly, has ratified key investment treaty agreements with the European Union ("EU") and passed a number of other laws relevant to foreign investors. The ninth session of the 14th...more

Mintz - Securities & Capital Markets...

SEC (OCIE) Issues Risk Alerts Concerning Reg. BI

The SEC’s Office of Compliance Inspection and Examinations (OCIE) issued two risk alerts relating to Regulation Best Interest (Reg. BI). The two alerts summarize how future OCIE examinations will focus on compliance with Reg....more

Kramer Levin Naftalis & Frankel LLP

SEC Proposes Rule Changes to Improve Private Placement Rules

On March 4, the Securities and Exchange Commission (the Commission) proposed a set of amendments to the rules and regulations under the Securities Act of 1933, as amended (the Securities Act), to simplify, harmonize and...more

Morgan Lewis

Asset Management Association of China Gives Guidance on Private Funds Amid Coronavirus

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The Asset Management Association of China encourages new private equity funds to invest in medical enterprises related to epidemic prevention and control, and has extended certain reporting deadlines....more

Robins Kaplan LLP

Financial Daily Dose 2.19.2020 | Top Story: Arguments Begin Regarding Facebook’s 2010 Tax Bill

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On Tuesday, a U.S. federal tax court began hearing arguments regarding Facebook’s 2010 tax bill. The IRS valued Facebook at $13.8 billion, while Facebook reported only $6.5 billion. The final tally could potentially cost...more

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