News & Analysis as of

Securities

Did The Last Viking Sell Securities?

by Allen Matkins on

I have recently been reading Stephen R. Bown's book, The Last Viking: The Life of Roald Amundsen. Readers may recall that it was the Norwegian Amundsen who famously beat the Englishman Robert Falcon Scott to the South Pole...more

How one New York court is shaping the future of cryptocurrency regulation

by DLA Piper on

Two cases in a New York federal courthouse – the US District Court for the Eastern of New York – have the potential to dramatically shape the future of cryptocurrency regulation....more

Financial Regulatory Developments Focus - May 2018 #2

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Taking Your Real Estate Investments “On Tour”

Consider that you are a professional violinist who lives in Maryland. To build your career as a solo violinist you are planning your first tour to Pennsylvania and Ohio, and you need to attract local audiences in those...more

Who will have the last word with Virtual Currency? IRS, FinCEN, SEC, OFAC or the CFTC?

by Foodman CPAs & Advisors on

Virtual Currency (VC) investors are currently investing without clarity regarding which Government Agency(s) has the final word with respect to the treatment of VC. US Agencies: IRS, FinCEN, SEC and CFTC – have expressed...more

Capital Markets Alert – Public Market Advocacy Groups Release Guidance

On April 27, 2018, the Securities Industry and Financial Markets Association (SIFMA), the U.S. Chamber of Commerce and Nasdaq, along with certain technology and biotechnology groups, released a policy paper titled “Expanding...more

Financial Regulatory Developments Focus - May 2018

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Private equity and hedge funds in Puerto Rico – a welcoming environment in the Caribbean

by DLA Piper on

Ten years ago, private equity funds and hedge funds were practically nonexistent in Puerto Rico. This has changed dramatically as the result of two main developments: the enactment of Act 185-2014, known as the Private Equity...more

Financial Regulatory Developments Focus - April 2018 #5

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Why the Fuss About ICOs and Crypto Tokens? Sander Zagzebski discusses the issue in C-Suite Quarterly

by Ervin Cohen & Jessup LLP on

Opinions vary wildly about cryptocurrency. Best friend of Bill Gates and legendary investor Warren Buffett says cryptocurrencies “will almost certainly end badly,” and notorious hedge fund manager and Argentina nemesis,...more

Financial Regulatory Developments Focus - April 2018 #4

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

New York attorney general launches fact-finding inquiry into trading platforms for virtual currencies

New York is the most recent to join the fray in state-led efforts to regulate the virtual currency markets. On April 17, 2018, New York Attorney General Eric T. Schneiderman announced the launch of the Virtual Markets...more

Orange Groves, Pay Phones, Visas, and Violins: Why Your Real Estate or Business Investment May be Subject to Securities Regulation

A recent Wall Street Journal headline announced “SEC Looks Into Kushner Cos. Over Use of EB-5 Program for Immigrant Investors.” It is not unusual to hear that a company is being investigated by the government over...more

SIFMA’s New Data Aggregation Principles and What They Mean for the Financial Sector

Last week, the Securities Industry and Financial Markets Association (“SIFMA”), a trade group for the United States securities industry, issued a set of Data Aggregation Principles (“the Principles”). In general, data...more

European Banking Authority Proposes Extending the Scope of the Complaints-Handling Guidelines

by Shearman & Sterling LLP on

The European Banking Authority has published proposals to extend the Joint Committee Guidelines on complaints-handling for the securities and banking sectors to the new institutions established under the revised Payment...more

Industrial Loan Company Securities - They May Or May Not Be What You Assume Them To Be

by Allen Matkins on

California Corporations Code Section 25100 is a long list of securities exempt from the qualification requirements of the Corporate Securities Law of 1968. Last on this list (Section 25100(t)) is any security issued or...more

Final EU Guidelines on Internalized Settlement Reporting Under the Central Securities Depositories Regulation

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published final Guidelines on Internalized Settlement Reporting under the Central Securities Depositories Regulation. The CSDR, which introduces common standards for...more

Supreme Court’s Merit Management Ruling Highlights Potential Alternative Path to Safe Harbor

by Latham & Watkins LLP on

Possible application of Section 101(22)(A) to safe harbor’s covered entity requirement raises important questions for future transferee defendants. Key Points: ..Merit Management raises the possibility that customers of...more

Financial Regulatory Developments Focus - April 2018

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Financial Services Quarterly Report - First Quarter 2018: Hong Kong SFC Publishes Consultation Proposals on Public Fund...

by Dechert LLP on

Following an initial “soft” consultation with industry participants and relevant stakeholders, the Securities and Futures Commission (SFC) launched a three-month consultation on proposed amendments to the Code on Unit Trusts...more

When An LLC Interest Is A Security

by Allen Matkins on

Yesterday's post concerned U.S. District Court Judge Cynthia Ann Bashant's recent ruling that a plaintiff had failed to plead adequately the existence of a security. D.R. Mason Constr. Co. v. GBOD, LLC, 2018 U.S. Dist. LEXIS...more

SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets

by Dechert LLP on

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March 7, 2018 jointly issued a statement on digital asset trading platforms...more

Bridging the Weeks - March 2018 #3

The Department of Justice and the Securities and Exchange Commission opposed a motion to dismiss filed by a defendant named in a criminal indictment, charging him with offering and selling two types of digital tokens issued...more

European Commission Provides Clarification on the Law Applicable to the Proprietary Effects of Transactions in Securities

by Shearman & Sterling LLP on

The European Commission has published a Communication on the law applicable to the proprietary effects of transactions in securities. The Commission's objective is to clarify the conflicts of law provisions in the Financial...more

Financial Regulatory Developments Focus - March 2018 #3

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

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Cybersecurity

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