News & Analysis as of

Securities Licensing Rules

Kohrman Jackson & Krantz LLP

SEC Brings Action Against Convertible Debt Lender

Recently, the Securities and Exchange Commission filed a complaint against Curt Kramer and three companies owned by Kramer, 1800 Diagonal Lending Company, LLC, Power Up Lending Group, Ltd., and Geneva Roth Remark Holdings,...more

Bradley Arant Boult Cummings LLP

Q&A with the Mississippi Securities Division: New Technology, New Rules and New Challenges

The Mississippi Securities Division is the closest regulator to the investing public of Mississippi.  Among other tasks, they protect investors from fraud and abuse and make sure those licensed securities professionals doing...more

Skadden, Arps, Slate, Meagher & Flom LLP

JPEX Is Test Case for Hong Kong’s New Regulatory Regime for Virtual Asset Exchanges

Hong Kong regulators recently brought criminal enforcement actions against virtual asset trading platform JPEX and individuals associated with the platform. This case has become the first opportunity for local authorities to...more

Allen Matkins

When Selling Partnership Interests May Require A Real Estate Broker's License

Allen Matkins on

The definition of a "real estate broker" under the California Real Estate Law encompasses much more than simply selling real estate.   For example, Business & Professions Code Section 10131.3 defines a real estate broker as...more

Perkins Coie

Big Move in Celsius – Will Parties Get a Deeper Look from an Examiner’s Review

Perkins Coie on

Something big happened in the Celsius bankruptcy case last week. The filed by the Office of The United States Trustee (“UST”), a part of the US Department of Justice, has filed a motion asking the Court to appoint an examiner...more

Dechert LLP

Global Private Equity Newsletter - Winter 2020 Edition: Hong Kong Licensing Guidance for Private Equity Firms

Dechert LLP on

The Hong Kong Securities and Futures Commission (SFC) issued a circular (Circular) on January 7, 2020, which clarifies that private equity firms conducting, or holding themselves out as conducting, regulated activities in...more

Dechert LLP

SFC Takes Enforcement Action Against Private Equity Firm, a Director and Investment Manager

Dechert LLP on

The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more

Morgan Lewis

Licensing Requirements for Private Equity Firms in Hong Kong – Part 2

Morgan Lewis on

In our first blog on Hong Kong private equity licensing, we looked at Dealing in Securities (Type 1). This second blog deals with Advising on Securities (Type 4)....more

White & Case LLP

Financial Regulatory Observer – June 2019: No-deal Brexit: Challenges for trading venues and their participants

White & Case LLP on

There is no silver bullet for maintaining cross-border trading if the UK leaves the EU without a deal. The date of Brexit has been delayed until (at least) October 31, 2019, but there is little sign that financial...more

Pillsbury Winthrop Shaw Pittman LLP

A Limited Exception - California enacts new rules governing exemption for finders in securities transactions

The California Department of Business Oversight has enacted final rules to implement an exemption from broker-dealer registration licensing requirements in California for individuals acting as “finders” in securities...more

Baker Donelson

Top 12 Legal Mistakes Made by Startup Breweries and Distilleries

Baker Donelson on

Undertaking any entrepreneurial endeavor can be a daunting task. It can get very complicated when doing so in a highly regulated environment, such as the one that governs the manufacture and sale of alcohol related products....more

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