ANALYSIS: Marketing Alternative Investment Funds in the United Kingdom under the New EU AIFMD Regime
April 12, 2013 in World Securities Law Report
New rules governing the alternative investment sector will come into force across the European Economic Area on July 22, 2013, in the form of the EU Alternative Investment Fund Managers Directive…
ANALYSIS: The New EU Derivatives Rules Go Live: Implications for Counterparties
April 12, 2013 in World Securities Law Report
The EU Regulation on OTC Derivatives, Central Counterparties and Trade Repositories (also known as the European Market Infrastructure Regulation, or EMIR) is now effective…
ANALYSIS: A Global Concern: The Rise of International Securities Litigation
April 8, 2013 in World Securities Law Report
While defendants could once expect to face securities litigation only in the United States, legal and regulatory regimes outside the United States now offer some plaintiffs attractive alternative forums in which to bring securities claims…
ANALYSIS: New Amendments to Swiss Federal Act on Stock Exchanges and Securities Trading Strengthen Rules on Insider Trading, Introduce Other Important Changes
March 6, 2013 in World Securities Law Report
In September 2012, the Swiss parliament approved a draft bill to revise the Swiss Federal Act on Stock Exchanges and Securities Trading and thus create a more stringent capital market criminal and regulatory law…
ANALYSIS: India’s New Investment Advisers Regulations
March 6, 2013 in World Securities Law Report
An in-depth analysis of the Investment Advisers Regulations to provide an understanding of their impact across the financial industry…
Hawke: New Enforcement Tools For New Breed of Inside Traders
February 28, 2013 in Securities Regulation & Law Report
Instead of “one-off” insider trading violation involving friends and family members, the SEC’s Enforcement Division currently is seeing instances in which licensed professionals have deliberately misused material nonpublic information with which they were entrusted, Daniel Hawke, chief of the Division’s Market Abuse Unit and director of the Philadelphia Regional Office, told BNA…
U.S. Foreign Account Tax Compliance Act: New Reporting Obligations on Foreign Financial Institutions about U.S. Individuals’ Accounts, Investments
February 28, 2013 in World Securities Law Report
The Foreign Account Tax Compliance Act (FATCA), signed into law on March 18, 2010, was enacted to combat tax evasion by U.S. citizens and residents who have offshore accounts and assets. This article addresses in detail the potential U.S. civil and criminal exposure individuals may face in the wake of FATCA, and potential strategies to assess and address any such exposure…
Emerging Global Standard for Effective Anti-Corruption Compliance: Meeting the Expectations of Governments Worldwide
February 27, 2013 in World Securities Law Report
While expansive enforcement of the U.S. Foreign Corrupt Practices Act (FCPA) and the 2011 entry into force of the UK Bribery Act (Bribery Act) have received the greatest amount of attention, multinational corporations are also subject to anti-corruption laws wherever they do business…
Quick Poll: Will the U.S. Department of Justice be successful in its action against Standard & Poor’s?
February 27, 2013 in
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ANALYSIS: Emerging Global Standard for Effective Anti-Corruption Compliance: Meeting the Expectations of Governments Worldwide
February 7, 2013 in World Securities Law Report
While expansive enforcement of the U.S. Foreign Corrupt Practices Act (FCPA) and the 2011 entry into force of the UK Bribery Act (Bribery Act) have received the greatest amount of attention, multinational corporations are also subject to anti-corruption laws wherever they do business…