September 14, 2018 Hearings on Competition and Consumer Protection in the 21st Century: Opening Session
Client Newsflash
August 31, 2018 Second Circuit Holds the FCPA Does Not Extend to Non-U.S. Persons Absent U.S. Nexus
Client Memorandum
August 21, 2018 SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
August 13, 2018 New CFIUS Legislation Enacted
Client Memorandum
August 8, 2018 Getting the Deal Through – Financial Services Compliance
July 10, 2018 What Chinese Banks and Companies Should Know About DOJ Overseas Subpoenas and Asset Seizures
Client Memorandum
July 6, 2018 SEC’s Proposed Amendments to Its Whistleblower Program May Increase Reporting of Potential Securities-Law Violations to the SEC
Client Memorandum
July 6, 2018 U.S. Supreme Court Says Interpretation of PRC Law Not to Receive Deference in Vitamin C Antitrust Case
Client Memorandum
July 5, 2018 CFTC Proposes Maintaining Swap Dealer De Minimis Registration Threshold at $8 Billion with Expanded Exceptions
Client Memorandum
July 5, 2018 Davis Polk Financial Services Regulatory Reform Tool — Summer Beach Read Edition
Client Memorandum
July 5, 2018 In Amended Decision, U.S. Court of Appeals (Second Circuit) Leaves Open the Ability to Prosecute Insider Trading Absent Evidence of a “Meaningfully Close Personal Relationship”
Client Memorandum
July 3, 2018 Supreme Court Issues Landmark Decision on Two-Sided Markets
Client Memorandum
July 2, 2018 New York’s Highest Court Holds That Three-Year Statute of Limitations Applies to Martin Act Claims
Client Memorandum
June 25, 2018 Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact
Client Memorandum
June 18, 2018 Proposed Amendments to the Volcker Rule Regulations
Client Memorandum
June 5, 2018 When the FBI Can Help Companies Deal With a Cyber Event

New York Law Journal, June 4, 2018

June 4, 2018 DOJ Announces Largest-Ever U.S. Antitrust Divestiture in the Bayer/Monsanto Transaction
Client Memorandum
May 22, 2018 Bipartisan Banking Act Will Rebalance the Financial Regulatory Landscape
Client Memorandum
May 11, 2018 Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions
Client Memorandum
May 9, 2018 President Trump Withdraws from Iran Deal, U.S. Sanctions to “Snap Back” After Limited Wind-down Period
Client Memorandum
May 7, 2018 SEC Proposes Enhanced Standards for Advice to Retail Investors
Client Memorandum
April 27, 2018 SEC Pursues Compliance Officers at Broker-Dealer for Aiding and Abetting AML Violations
Client Memorandum
April 17, 2018 The CONSENT Act and Renewed Congressional Data Privacy Interest
Client Memorandum
April 10, 2018 FinCEN Issues Frequently Asked Questions Regarding Its Customer Due Diligence Rule
Client Memorandum
March 28, 2018 Senate Bipartisan Banking Bill to Rebalance the Financial Regulatory Landscape
Client Memorandum
March 28, 2018 Trump Intends to Nominate Final FTC Commissioner
Client Memorandum
March 17, 2018 China to Consolidate Antitrust Powers in Single Agency
Client Memorandum
March 15, 2018 SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures
Client Memorandum
February 27, 2018 Supreme Court Rules that Dodd-Frank Whistleblower Protections Do Not Extend to Internal Reporting
Client Memorandum
February 23, 2018 Latest U.S. Sanctions Developments Show Focus on Mainland China and Hong Kong
Client Memorandum
February 6, 2018 2017年中国反垄断法领域回顾
Client Memorandum
January 31, 2018 China Antitrust Review 2017
Client Memorandum
January 26, 2018 Revised 2018 Jurisdictional Thresholds Under the HSR Act and For the Prohibition of Interlocking Directorates
Client Memorandum
January 23, 2018 Six US Market Regulation Predictions for 2018

Financial Times, January 19, 2018

January 16, 2018 CFIUS发展趋势和最新动态
Client Memorandum
January 16, 2018 Trends and Updates in the CFIUS Space
Client Memorandum
December 21, 2017 Investment Management Regulatory Update - December 2017
Client Newsletter
December 5, 2017 White Collar Update: Solicitor General Sides with Opponents, Agrees SEC ALJs are Unconstitutionally Appointed
Client Memorandum
December 1, 2017 White Collar Update: Deputy Attorney General Rod Rosenstein Announces New FCPA Corporate Enforcement Policy Establishing a Category of Presumptive Declinations
Client Memorandum
November 6, 2017 SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions
Client Memorandum
November 2, 2017 FINRA Establishes New Registration and Qualification Requirements
Client Memorandum
October 30, 2017 SEC Division of Enforcement Co-Directors Stephanie Avakian and Steven Peikin Provide Remarks on Enforcement Division’s Initiatives and Priorities
Client Memorandum
October 19, 2017 Trump’s Nominees for the FTC
Client Memorandum
October 16, 2017 President Trump Decertifies the Iran Deal – What Happens Next?
Client Memorandum
October 12, 2017 White Collar Update: Deputy Attorney General Rod Rosenstein Delivers Address on Corporate Enforcement Policy
Client Memorandum
October 11, 2017 Review of Volcker Rule Comment Letters
Client Memorandum
October 5, 2017 DOJ Challenges Consummated Merger Following HSR Clearance
Client Memorandum
September 19, 2017 CFIUS: President Blocks Lattice Semiconductor Corporation Acquisition; Senate Holds Hearing on Possible CFIUS Reforms
Client Memorandum
September 5, 2017 U.S. Court of Appeals (Second Circuit) Upholds Convictions, Eliminates Newman’s “Meaningfully Close Personal Relationship” Requirement
Client Memorandum
August 21, 2017 U.S. Banking Agencies Clarify Capital Treatment of Cleared Derivatives with Settled-to-Market Variation Margin
Client Memorandum
August 14, 2017 The Federal Reserve Breathes Fresh Air into Its Corporate Governance Guidance
Client Memorandum
August 10, 2017 D.C. Circuit Raises the Bar on SEC Review of SRO Rule Filings—May Further Slow Pace of Agency Actions
Client Memorandum
August 8, 2017 What Happens if the CFPB Arbitration Rule Isn't Overturned? - Ten Practical Tips to Think About Now
Client Memorandum
August 4, 2017 The Countering America’s Adversaries Through Sanctions Act Becomes Law
Client Memorandum
August 2, 2017 OCC Seeks Input on Volcker Regulation Reforms
Client Memorandum
July 27, 2017 SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings
Client Memorandum
July 14, 2017 Treasury Report on Regulatory Reform: Key Recommendations and Initial Regulatory Responses on Capital, Stress Testing and Liquidity
Client Memorandum
June 28, 2017 Securities Litigation Update: After Full D.C. Circuit Deadlocks, Circuit Court Split over the Constitutionality of SEC Administrative Law Judges Likely Bound for Supreme Court
Client Memorandum
June 27, 2017 Regulatory Reform for Mid-Sized and Regional Banks: Where Are We at Mid-Year?
Client Memorandum
June 16, 2017 How Group Purchasing Organizations Reduce Healthcare Procurement Costs in a Highly Competitive Market

The Antitrust Source, June 2017

May 30, 2017 Target Corp. Cyber Breach Settlement Reflects Emerging Best Practices for Cybersecurity
Client Memorandum
May 15, 2017 CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
Client Memorandum
May 8, 2017 Financial CHOICE Act 2.0 Passes House Financial Services Committee
Client Memorandum
April 27, 2017 FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum
April 26, 2017 Securities Enforcement Update: Supreme Court Hints at Statute of Limitations for Disgorgement Actions, Justices Question SEC’s Authority to Seek Disgorgement Altogether
Client Memorandum
March 27, 2017 President Trump Appoints Makan Delrahim to Lead the Antitrust Division
Client Memorandum
March 24, 2017 SEC Approves Move to T+2 Standard Settlement Cycle in September 2017
Client Memorandum
March 6, 2017 White Collar Update: New DOJ Guide to Evaluation of Corporate Compliance Programs
Client Memorandum
February 7, 2017 Antitrust Agencies Reach Settlements in Three HSR Act Cases
Client Memorandum
January 26, 2017 Comparison of Legislation in the 115th Congress Affecting the Rulemaking Process
Client Memorandum
January 25, 2017 China Antitrust Review 2016
Client Memorandum
January 25, 2017 White Collar Update: Rolls-Royce Reaches Global $800 Million Resolution in Bribery Scheme
Client Memorandum
January 20, 2017 Revised 2017 Jurisdictional Thresholds Under the HSR Act
Client Memorandum
January 19, 2017 Eight US Regulatory Predictions for 2017

Financial Times, January 13, 2017

January 19, 2017 Securities Enforcement Update: Supreme Court to Decide Statute of Limitations for SEC Disgorgement Actions
Client Memorandum
January 5, 2017 Circuit Court Split over the Constitutionality of SEC Administrative Law Judges Tees Up Issue for the Supreme Court
Client Memorandum
January 3, 2017 White Collar Update: Teva to Pay $519 Million in FCPA Resolution, a Pharmaceutical Industry Record
Client Memorandum
December 23, 2016 White Collar Update: Odebrecht and Braskem to Pay Record FCPA Penalty of at Least $3.5 Billion in Petrobras Fallout
Client Memorandum
December 22, 2016 SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements
Client Memorandum
December 20, 2016 SEC Approves Consolidated Audit Trail Plan
Client Memorandum
December 12, 2016 PCAOB Enforcement Milestone
Client Memorandum
December 9, 2016 Beyond FinTech: The OCC's Special Purpose National Bank Charter
Client Memorandum
December 8, 2016 Preparing Your 2016 Form 20-F
Client Memorandum
December 8, 2016 White Collar Update: Supreme Court Rejects Second Circuit’s Narrow Interpretation of Insider-Trading Law
Client Memorandum
November 30, 2016 Sanctions Update: The Iran Nuclear Deal in the Trump Administration and the 115th Congress
Client Memorandum
November 17, 2016 The Trump Transition and Possible Directions for Financial Regulatory Reform
Client Memorandum
November 14, 2016 China: An Overview of Intellectual Property Rights Guidelines and Global Considerations for Antitrust Practitioners

Concurrences N° 4-2016

November 11, 2016 FINRA's Approval Requirement: Considerations for Non-US Acquirers of US Broker-Dealers

International Finanancial Law Review, November 2016

November 4, 2016 Antitrust Guidance for Human Resource Professionals and the Potential for Criminal Liability
Client Memorandum
October 31, 2016 Banking Regulators Float Broad Cyber Risk Approach
Client Memorandum
October 19, 2016 Security-Based Swap Implementation Timing Update
Client Memorandum
October 13, 2016 New York State Department of Financial Services Proposes New Cybersecurity Regulations
Client Memorandum
September 16, 2016 Security-Based Swap Dealers: Preparing for Trade Reporting

Compliance Reporter, Issue 19, September 19, 2016

September 9, 2016 The Federal Banking Agencies’ Report on Activities and Investments of Banks and Nonbank Affiliates
Client Memorandum
August 31, 2016 Ninth Circuit Issues SOX Opinion—Approves Compensation Clawback Even for Executives Not Engaged in Misconduct
Client Memorandum
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
August 18, 2016 Resolution of U.S. Financial Institutions

Debt Restructuring, 2nd ed., Oxford University Press, August 2016

July 29, 2016 FinCEN’s Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions
Client Memorandum
July 29, 2016 SEC Proposes New and Enhanced Order Handling Disclosure Requirements
Client Memorandum
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
July 22, 2016 NYDFS Issues Final Rule on Transaction Monitoring and Filtering Programs
Client Memorandum
July 19, 2016 Dodd-Frank Progress Report: Six-Year Anniversary
Client Newsletter
June 6, 2016 2nd Cir. Holds that the Federal Courts Lack Jurisdiction to Hear Attacks Against Ongoing SEC Administrative Proceedings
Client Memorandum
June 6, 2016 Security-Based Swap Dealers: Tackling the Business Conduct Rules
Compliance Reporter, Issue 11, May 30, 2016
June 3, 2016 The DOL Fiduciary Regulation and Its Impact on the Financial Services Industry
Client Memorandum
May 31, 2016 FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Client Memorandum
May 26, 2016 2d Cir. Reverses $1.3B Penalty, Finding That Countrywide Did Not Defraud Government
Client Memorandum
May 25, 2016 Federal Reserve's Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
Client Memorandum
May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
May 11, 2016 Treasury Increases Focus on Offshore Tax Evasion as New Leaks Emerge from the Panama Papers
Client Memorandum
May 2, 2016 Incentive Compensation for Financial Institutions: Reproposal
Client Memorandum
April 19, 2016 White Collar Update: DOJ Announces One-Year FCPA Self-Reporting Pilot Program
Client Memorandum
April 18, 2016 Security-Based Swap Dealers: Gearing Up for Registration
compliancereporter.com, Vol. XXIII, No. 8, April 18, 2016
April 13, 2016 White Collar Update: D.C. Circuit Reaffirms Prosecutors’ Authority over Deferred Prosecution Agreements
Client Memorandum
April 5, 2016 Does the ValueAct Lawsuit Have Implications for Institutional Shareholders and the Larger Shareholder Activism and Engagement Landscape?
Client Memorandum
March 30, 2016 Second Circuit Says Section 546 of Bankruptcy Code Preempts State Law Constructive Fraud Claims
Client Memorandum
March 24, 2016 Foreign Sovereign Compulsion: A Widening Split on Chinese Exports
The Antitrust Counselor (ABA)

Vol. 10.3, March 2016

March 22, 2016 Visual Memo: Single-Counterparty Credit Limits Proposed Rule
Client Memorandum
March 9, 2016 CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
Client Memorandum
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
January 27, 2016 Corruption in 2015: Key Takeaways
Client Newsletter
January 25, 2016 White Collar Update: Supreme Court Will Decide Reach of Insider Trading Law
Client Memorandum
January 22, 2016 Is B/D Desk Commentary Dead?
Compliance Reporter
January 22, 2016 U.S. Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
January 21, 2016 Revised 2016 Jurisdictional Thresholds Under the HSR Act and For the Prohibition of Interlocking Directorates
Client Memorandum
January 20, 2016 JCPOA Implementation Day Raises New Sanctions Challenges
Client Memorandum
January 19, 2016 China Antitrust Review 2015
Client Memorandum
January 4, 2016 Dodd-Frank Progress Report: Fourth Quarter 2015
Client Newsletter
December 29, 2015 SEC Proposes New Limits on Registered Funds’ Derivatives Use
Client Memorandum
December 14, 2015 SEC Proposes New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
December 11, 2015 SEC Proposes New Rule Governing the Use of Derivatives by Registered Investment Companies
Client Memorandum
December 10, 2015 White Collar Update: Second Circuit Grants Jefferies Bond Trader New Trial, Reverses Others
Client Memorandum
December 1, 2015 White Collar Update: DOJ Incorporates Yates Memo into U.S. Attorneys’ Manual
Client Memorandum
November 18, 2015 White Collar Update: The Department of Justice Retains Compliance Counsel Expert
Client Memorandum
November 12, 2015 U.S. Bank Regulators’ Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
November 10, 2015 Federal Reserve’s Proposed Rule on TLAC and Eligible LTD
Client Memorandum
November 6, 2015 CFTC’s Clearinghouse Exemptive Regime
International Financial Law Review
October 28, 2015 Closing Your M&A Deal on a Weekend
Client Memorandum
October 23, 2015 MOFCOM Lifts Many, But Not All, Hold Separate Requirements Previously Imposed as Conditions to Clearance of Hard Disk Drive Deals
Client Memorandum
October 1, 2015 Dodd-Frank Progress Report: Third Quarter 2015
Client Newsletter
September 30, 2015 CFTC Modifies Proposed Aggregation Standards for Owned Entities under its Position Limit Rules
Client Memorandum
September 28, 2015 CFTC Brings First Bitcoin Enforcement Action, Further Clarifying U.S. Regulatory Landscape for Virtual Currencies
Client Newsletter
September 24, 2015 Securities Litigation Update: Constitutional Challenges to SEC’s Administrative Courts Gain Momentum
Client Memorandum
September 16, 2015 FinCEN’s Proposed Rule to Require Investment Advisers to Establish AML Programs
Client Memorandum
September 15, 2015 Whistleblowers Who Report Alleged Wrongdoing Internally Are Entitled to Dodd-Frank’s Anti-Retaliation Protections
Client Memorandum
September 11, 2015 The Department of Justice Codifies Focus on Individuals in Corporate Cases
Client Memorandum
August 27, 2015 New FINRA Equity and Debt Research Rules
Client Memorandum
August 26, 2015 FTC Settlement with Activist Fund Clarifies Scope of HSR Passive Investment Exemption
Client Memorandum
August 26, 2015 SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
August 25, 2015 Investment Management Regulatory Update - August 2015
Client Newsletter
August 17, 2015 Foreign Bank Cross-Border Trading under the Volcker Rule: the “Trading Outside the United States” Exemption’s Incongruous Consequences
Columbia Law School’s Blue Sky Blog
August 17, 2015 FTC Articulates Enforcement Policy Against “Unfair Methods of Competition,” Fine-Tunes Merger Review Process
Client Memorandum
August 11, 2015 Nuclear Deal with Iran Establishes Plan for Sanctions Relief
Client Memorandum
August 5, 2015 Insider Trading Update: Department of Justice Seeks Supreme Court Review of Second Circuit Case Deciding Reach of Insider Trading Law
Client Memorandum
June 29, 2015 Third Circuit Holds Non-Cash Consideration – Such As “No Authorized Generic” Agreements – Can Constitute Unlawful “Pay For Delay”
Client Memorandum
June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
June 12, 2015 Volcker Prop Trading Provisions: How Firms Are Preparing
compliancereporter.com, Vol. XXII, No. 12, June 15, 2015
June 11, 2015 D.C. Circuit Upholds FTC Premerger Notification Rules Related to the Transfer of Exclusive Patent Rights in the Pharmaceutical Industry
Client Memorandum
June 5, 2015 New York’s Final "BitLicense" Rule: Overview and Changes from the July 2014 Proposal
Client Memorandum
June 1, 2015 SEC Re-Proposes Rules on Arranging, Negotiating or Executing Security-Based Swaps in the United States
Client Newsletter
May 29, 2015 Iran Nuclear Agreement Review Act Becomes Law
Client Memorandum
May 29, 2015 Second Circuit Finds “Product Hopping” By a Pharmaceutical Company to Violate Antitrust Laws
Client Memorandum
May 21, 2015 Business Email Compromise Scams Pose Significant Risk
Client Memorandum
May 11, 2015 Department of Labor – Fiduciary Advice Definition and Conflict of Interest Rule
Client Memorandum
May 6, 2015 BE-10 Filing Deadline Nears for U.S. Companies With Foreign Subsidiaries and Other Affiliates
Client Memorandum
April 6, 2015 FINRA Issues Regulatory Notices on Algorithmic Trading Strategies
Client Memorandum
April 2, 2015 SEC Announces Enforcement Action Against Restrictive Language in Confidentiality Agreements
Client Memorandum
April 1, 2015 Dodd-Frank Progress Report: First Quarter 2015
Client Newsletter
March 24, 2015 Implications of the SEC’s Plans to Amend Rule 15b9-1
Traders Magazine
March 2, 2015 SEC Issues Reporting Rules for Security-Based Swaps
Client Memorandum
January 28, 2015 China Antitrust Review 2014
Client Memorandum
January 20, 2015 HSR Filing Thresholds and New Reporting Requirements for Foreign Investments in U.S. Entities
Client Memorandum
January 20, 2015 Impacts and Implications of the CFTC’s Emerging Clearinghouse Exemptive Program
Traders Magazine
January 6, 2015 CFTC Staff Issues CCO Annual Report Guidance and Related Deadline Extension
Client Memorandum
January 5, 2015 Dodd-Frank Progress Report
Client Newsletter
January 5, 2015 Regulatory Predictions for 2015
Financial Times
December 17, 2014 Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps
Client Memorandum
December 11, 2014 FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule
Client Memorandum
December 11, 2014 Insider Trading: U.S. Court of Appeals (Second Circuit) Vacates Convictions, Clarifies Requirements of Tippee Liability
Client Memorandum
December 4, 2014 SEC Adopts Regulation SCI to Strengthen Securities Market Infrastructure
Client Memorandum
December 1, 2014 Dodd-Frank Progress Report
Client Newsletter
November 10, 2014 New York’s Proposed BitLicense Regime: Summary of Published Comments and Expected Changes
Client Memorandum
November 7, 2014 Risk Governance: Visual Memorandum on Final Guidelines Issued by the OCC
Client Memorandum
November 3, 2014 Dodd-Frank Progress Report
Client Newsletter
October 30, 2014 FINRA Proposes New "CARDS" Data Collection System
Client Memorandum
October 15, 2014 CFTC Re-Proposes Uncleared Swap Margin Rules
Client Memorandum
October 13, 2014 FINRA Files New Rules Governing Member Payments to Unregistered Persons
Client Memorandum
October 1, 2014 Dodd-Frank Progress Report
Client Newsletter
September 30, 2014 FINRA To Propose Market Structure Actions
Client Memorandum
September 23, 2014 U.S. Basel III Liquidity Coverage Ratio Final Rule
Client Memorandum
September 16, 2014 SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration
Client Memorandum
September 2, 2014 Dodd-Frank Progress Report
Client Newsletter
August 21, 2014 FTC Fines Acquirer $896,000 for Failure to File Under HSR Act for Incremental Acquisitions of a Public Issuer by Conversion of Notes
Client Memorandum
August 5, 2014 SEC Adopts Money Market Fund Reforms
Client Memorandum
July 31, 2014 New York July 2014 “BitLicense” Proposal: Visual Memorandum
Client Memorandum
July 18, 2014 Dodd-Frank Four-Year Anniversary Progress Report
Client Newsletter
July 3, 2014 SEC Adopts Security-Based Swap Cross-Border Definitional Rule
Client Memorandum
July 1, 2014 Dodd-Frank Progress Report
Client Newsletters
June 27, 2014 U.S. Supreme Court: No Presumption of Prudence for ESOP Fiduciaries, Court Details Pleading Requirements for Breach of Prudence Claims
Client Memorandum
June 18, 2014 Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines
Client Memorandum

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