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

International Finanancial Law Review, November 2016

November 10, 2016 ISS Updates Pay-for-Performance Evaluation Methodology for 2017
Client Memorandum
November 4, 2016 Antitrust Guidance for Human Resource Professionals and the Potential for Criminal Liability
Client Memorandum
November 4, 2016 Brexit: Article 50 and the Miller Case
Client Memorandum
October 31, 2016 Banking Regulators Float Broad Cyber Risk Approach
Client Memorandum
October 31, 2016 Investment Management Regulatory Update - October 2016
Client Newsletter
October 28, 2016 SEC Proposes Universal Proxy Cards
Client Memorandum
October 24, 2016 Issue 8: Lex et Brexit — The Law and Brexit
Client Newsletter
October 19, 2016 Patent Buyers Beware – The Former Owner of a Patent Can Challenge its Validity in an Inter Partes Review
Client Memorandum
October 19, 2016 Security-Based Swap Implementation Timing Update
Client Memorandum
October 17, 2016 What's Next for PHH v. CFPB?
Client Memorandum
October 14, 2016 Final and Temporary Section 385 Regulations
Client Memorandum
October 14, 2016 Jensen Embodied in Proposed Dodd-Frank Rule

The Daily Journal, October 14, 2016

October 13, 2016 Getting the Deal Through: Merger Control 2017
United States

Law Business Research Ltd.

October 13, 2016 New York State Department of Financial Services Proposes New Cybersecurity Regulations
Client Memorandum
October 7, 2016 Tax Journal: UK Tax Issues on US Merger Agreements
September 30, 2016 Issue 7: Lex et Brexit — The Law and Brexit
Client Newsletter
September 30, 2016 SEC Proposes T+2 Settlement Cycle
Client Memorandum
September 28, 2016 Investment Management Regulatory Update - September 2016
Client Newsletter
September 28, 2016 The Capital Markets Union: an update on the European Commission’s proposal for a new EU Prospectus Regulation
Client Memorandum
September 22, 2016 In Vitamin C Price-Fixing Suit, the Second Circuit Vacates Lower Court Ruling as Abuse of Discretion and Defers to China’s Interpretation of Its Laws
Client Memorandum
September 21, 2016 Intellectual Property Update: September 2016
Client Newsletter
September 21, 2016 UK Takeover Panel Publishes New Edition of the Takeover Code
Client Memorandum
September 16, 2016 Issue 6: Lex et Brexit — The Law and Brexit
Client Newsletter
September 16, 2016 Security-Based Swap Dealers: Preparing for Trade Reporting

Compliance Reporter, Issue 19, September 19, 2016

September 13, 2016 FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents
Client Memorandum
September 9, 2016 The Federal Banking Agencies’ Report on Activities and Investments of Banks and Nonbank Affiliates
Client Memorandum
September 8, 2016 All in the Family | Intellectual Property, Fall 2016
Intellectual Property, Fall 2016
September 1, 2016 Issue 5: Lex et Brexit — The Law and Brexit
Client Newsletter
September 1, 2016 What is a Broker-Dealer?
Chapter 2

Broker-Dealer Reg., Rel. #10, 9/16, PLI

August 31, 2016 Ninth Circuit Issues SOX Opinion—Approves Compensation Clawback Even for Executives Not Engaged in Misconduct
Client Memorandum
August 24, 2016 Investment Management Regulatory Update – August 2016
Client Newsletter
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
August 19, 2016 Issue 4: Lex et Brexit — The Law and Brexit
Client Newsletter
August 18, 2016 Recent Delaware Appraisal Rights Developments Address Interest Rate Risk but Leave Certain Transactions Vulnerable on Deal Price
Client Memorandum
August 18, 2016 Resolution of U.S. Financial Institutions

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

August 8, 2016 Getting the Deal Through: Equity Derivatives 2016

Law Business Research Ltd.

August 5, 2016 Issue 3: Lex et Brexit — The Law and Brexit
Client Newsletter
August 4, 2016 Corporate Governance Trends and Developments: 2016
August 2, 2016 New Proxy Advisor Policy Affects IPO Company Director Elections
Client Memorandum
July 29, 2016 FinCEN’s Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions
Client Memorandum
July 29, 2016 Insuring M&A Tax Risk
Tax Journal
July 29, 2016 SEC Proposes New and Enhanced Order Handling Disclosure Requirements
Client Memorandum
July 28, 2016 TCH Releases White Paper on the Custody Services Provided by Banks
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
July 26, 2016 Investment Management Regulatory Update – July 2016
Client Newsletter
July 22, 2016 Issue 2: Lex et Brexit — The Law and Brexit
Client Newsletter
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
July 19, 2016 SEC Proposes Additional Disclosure Reforms
Client Memorandum
July 9, 2016 Issue 1: Lex et Brexit — The Law and Brexit
Client Newsletter
July 5, 2016 HSR Violation Penalties More Than Doubled by FTC
Client Memorandum
June 29, 2016 SEC Finalizes Disclosure Rules for Payments by Resource Extraction Issuers
Client Memorandum
June 27, 2016 Investment Management Regulatory Update - June 2016
Client Newsletter
June 27, 2016 Privatisations et préservation des intérêts essentiels de la Nation
Vers un renforcement du fait du Prince en matière de sélection des acquéreurs?
June 27, 2016 SEC Proposes to Modernize Mining Disclosure
Client Memorandum
June 24, 2016 Legal Implications of Brexit
Client Memorandum
June 15, 2016 The New EU Market Abuse Regulation: Key Issues for U.S. Issuers
Client Memorandum
June 13, 2016 New York Court of Appeals Limits Availability of Common Interest Privilege
Client Memorandum
June 13, 2016 Partners as Employees? IRS Says Not So Fast
Client Memorandum
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
June 2, 2016 Governance Practices for IPO Companies: A Davis Polk Survey
Client Memorandum
June 1, 2016 Incentive Compensation Rules Proposed for Investment Advisers
Client Memorandum
May 31, 2016 FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Client Memorandum
May 27, 2016 Investment Management Regulatory Update - May 2016
Client Newsletter
May 26, 2016 2d Cir. Reverses $1.3B Penalty, Finding That Countrywide Did Not Defraud Government
Client Memorandum
May 25, 2016 Bank Resolution and Crisis Management: Law and Practice

Oxford University Press, May 2016

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 19, 2016 SEC Releases Guidance on Non-GAAP Financial Measures
Client Memorandum
May 11, 2016 Pre-IPO Companies Can Stay Private Longer: SEC Wraps Up JOBS Act Rulemaking
Client Memorandum
May 11, 2016 Treasury Increases Focus on Offshore Tax Evasion as New Leaks Emerge from the Panama Papers
Client Memorandum
May 10, 2016 New Guidance on Best Practice for Disapplying Pre-Emption Rights for UK Premium Listed Companies
Client Memorandum
May 2, 2016 Concert de circonstance et retrait obligatoire
À propos de CA Paris, 1er oct. 2015, n° 14/12844
May 2, 2016 Incentive Compensation for Financial Institutions: Reproposal
Client Memorandum
April 26, 2016 Investment Management Regulatory Update - April 2016
Client Newsletter
April 25, 2016 Sun Capital Decision Holds Private Equity Funds Liable for Pension Liabilities of Portfolio Company Under Deemed Partnership Theory
Client Memorandum
April 22, 2016 Regulation S-K Concept Release Charts Ambitious Course for Corporate Disclosure Reform
Client Memorandum
April 21, 2016 Similar But Not The Same: Some Ways in Which Bonds and Loans Will Differ in a Restructuring
The International Comparative Legal Guide to: Lending & Secured Finance 2016 (Chapter 6)
Global Legal Group Ltd.
April 19, 2016 White Collar Update: DOJ Announces One-Year FCPA Self-Reporting Pilot Program
Client Memorandum
April 18, 2016 Department of Labor’s Final Rule Defining Fiduciary Investment Advice and Conflicts of Interest
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 11, 2016 Treasury Issues New Anti-Inversion Guidance
Client Memorandum
April 11, 2016 Treasury Proposes Overhaul of Intercompany Debt Rules
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 29, 2016 Investment Management Regulatory Update - March 2016
Client Newsletter
March 24, 2016 A “Substantial Need” to Discover Settlement Documents?
The Antitrust Counselor (ABA)
Vol. 10.3, March 2016
March 24, 2016 Foreign Sovereign Compulsion: A Widening Split on Chinese Exports
The Antitrust Counselor (ABA)

Vol. 10.3, March 2016

March 24, 2016 Preparing for U.S. Uncleared Swap Margin Rules
compliancereporter.com, Vol. XXIII, No. 6, March 21, 2016
March 22, 2016 Visual Memo: Single-Counterparty Credit Limits Proposed Rule
Client Memorandum
March 18, 2016 New Hong Kong Professional Investors Reform – Are You Ready?
Client Memorandum
March 17, 2016 Can Falling Interest Rates Increase a Company’s Financing Costs?
Client Memorandum
March 17, 2016 Getting the Deal Through: Shareholder Activism & Engagement 2016
Law Business Research Ltd.
March 15, 2016 EU Prospectus Regime - Prospectus Approval and Publication, and Dissemination of Advertisements
Client Memorandum
March 10, 2016 New Register of ‘People with Significant Control’ over UK Companies – One Month to Implementation
Client Memorandum
March 9, 2016 CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
Client Memorandum
March 3, 2016 Getting the Deal Through: Shareholder Activism & Engagement 2016
Law Business Research Ltd.
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
March 1, 2016 Regulation of Foreign Banks & Affiliates in the United States (7th, 8th and 9th eds.) (Editor)

Westlaw│www.translegalstudies.org/

February 25, 2016 UK Takeover Panel Consultation on Communication and Distribution of Information During an Offer
Client Memorandum
February 23, 2016 SEC Decides Not to Pursue Clawback Actions Against Executives Who Reimbursed Company for Previously Paid Compensation
Client Memorandum
February 18, 2016 Investment Management Regulatory Update - February 2016
Client Newsletter
February 17, 2016 Down-Round Financings of Private Companies: Considerations for Outstanding Equity Compensation Awards
Client Memorandum
January 27, 2016 Corruption in 2015: Key Takeaways
Client Newsletter
January 27, 2016 Investment Management Regulatory Update - January 2016
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 11, 2016 Will Anti-Reliance Provisions Preclude Extra-Contractual Fraud Claims? Answers Differ in Delaware, New York, and California
Client Memorandum
January 8, 2016 Regulatory Predictions for 2016
FT Trading Room
January 6, 2016 Hong Kong Corporate Finance Update
Client Newsletter
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 21, 2015 Investment Management Regulatory Update - December 2015
Client Newsletter
December 21, 2015 SEC Re-Proposes Rules Implementing Dodd-Frank Disclosure Requirements for Resource Extraction Issuers
Client Memorandum
December 17, 2015 Preparing Your 2015 Form 20-F
Client Memorandum
December 15, 2015 Class Action Update: Supreme Court Reaffirms Enforcement of Class Arbitration Waivers
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 9, 2015 Adding Insult to Injury: Regulatory Enforcement Following Broker-Dealer Operational Failures
Securities Markets
Insights, The Corporate & Securities Law Advisor, Vol. 29, No. 11, November 2015
December 4, 2015 European Commission Proposal for a New EU Prospectus Regulation
Client Memorandum
December 3, 2015 Thinking About Indemnity Protections after the "Yates Memo"
Client Memorandum
December 2, 2015 Congress Poised to Pass Legislation to Facilitate Capital Formation
Client Memorandum
December 1, 2015 Beyond Bitcoin: Issues in Regulating Blockchain Transactions

65 Duke L.J. 569

December 1, 2015 White Collar Update: DOJ Incorporates Yates Memo into U.S. Attorneys’ Manual
Client Memorandum
November 24, 2015 HK CFA Explains Sufficient Connection to Wind Up a Foreign Company on the Just and Equitable Ground
Client Memorandum
November 24, 2015 Investment Management Regulatory Update - November 2015
Client Newsletter
November 23, 2015 ISS and Glass Lewis Adopt Policy Changes for the 2016 Proxy Season
Client Memorandum
November 19, 2015 European Regulatory Snapshot: FCA Consultation on Implementation of the Market Abuse Regulation
Client Memorandum
November 19, 2015 SEC Adopts Crowdfunding Rules
Client Memorandum
November 19, 2015 SEC Proposes Rule Changes to Facilitate Intrastate and Regional Securities Offerings
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
November 4, 2015 Product Innovation or Product “Hopping?” – Differing Assessments of Pharmaceutical Product Development and Marketing Activities

Antitrust Health Care Chronicle (ABA), Vol. 28 - No. 4, October 2015

November 3, 2015 The Perils of a Middle Road to Regulating Systemic Risk: The Volcker Rule’s Risk Backstop Provisions
The Georgetown Law Journal
October 29, 2015 UK Takeover Code - Dividends, Acting in Concert and Restrictions and Suspensions of Voting Rights
Client Memorandum
October 28, 2015 Closing Your M&A Deal on a Weekend
Client Memorandum
October 27, 2015 Investment Management Regulatory Update - October 2015
Client Newsletter
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 13, 2015 UK Takeover Code – Offer-Related Arrangements and Equality of Information to Competing Offerors
Client Memorandum
October 13, 2015 Getting the Deal Through: Merger Control 2016
United States

Law Business Research Ltd.

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 25, 2015 NYSE Expands Pre-Market Material News Policy and Trading Halt Authority Effective September 28
Client Memorandum
September 24, 2015 Investment Management Regulatory Update - September 2015
Client Newsletter
September 24, 2015 Securities Litigation Update: Constitutional Challenges to SEC’s Administrative Courts Gain Momentum
Client Memorandum
September 23, 2015 United States: Anti-Cartel Enforcement
The Antitrust Review of the Americas 2016
Global Competition Review
September 17, 2015 FINRA’S New Research Rules: How CCOs Can Prepare
Compliance Reporter
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
September 8, 2015 European Regulatory Snapshot: Remuneration in the Financial Services Industry 2015
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 19, 2015 D.C. Circuit Court Upholds Earlier Decision Partially Invalidating Conflict Minerals Rule
Client Memorandum
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 10, 2015 SEC Adopts Final Pay Ratio Disclosure Rule
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
July 29, 2015 The Role of Bankruptcy Reform in Addressing Too-Big-To-Fail

Subcommittee on Financial Institutions and Consumer Protection of the Senate Committee on Banking Housing, and Urban Affairs. July 29, 2015 (statement of Randall D. Guynn).

July 27, 2015 Getting the Deal Through
Corporate Governance 2015
Reproduced with permission from Law Business Research Ltd.
July 14, 2015 Investment Management Regulatory Update - July 2015
Client Newsletter
July 10, 2015 SEC Ponders Expanding Audit Committee Disclosure
Client Memorandum
July 8, 2015 SEC Proposes Dodd-Frank Clawback Rule
Client Memorandum
July 3, 2015 ESMA Assessment of Equivalence of Israeli Laws and Regulations on Prospectuses
Client Memorandum
July 1, 2015 Recent Compensation-Related Tax Developments
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 22, 2015 Investment Management Regulatory Update - June 2015
Client Newsletter
June 18, 2015 SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers
Client Memorandum
June 12, 2015 Amazon Branches Out
Views on Recent Developments in Tax
June 12, 2015 How to Implement Payments to Unregistered Persons Rule
compliancereporter.com, Vol. XXII, No. 10, May 18, 2015
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 20, 2015 Investment Management Regulatory Update - May 2015
Client Newsletter
May 13, 2015 BE-10 Filing Deadline Nears for U.S. Companies With Foreign Subsidiaries and Other Affiliates
Client Memorandum
May 12, 2015 Delaware Court of Chancery Subjects Non-Employee Director Compensation to the “Entire Fairness” Standard
Client Memorandum
May 11, 2015 China Opens Bank Card Clearing Market to Foreign Competition
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
May 1, 2015 Intarcia Pre-Commercial Royalty Financing: the Start of a New Trend or One-Off Deal?
Client Memorandum

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