Document(s) published by this organization: 226
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|SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway|
Scott R. MacLeod, Terry R. Weiss; Greenberg Traurig, LLP;
August 5, 2016, previously published on July 25, 2016Registered investment advisers have noticed increased SEC scrutiny during exams into mutual fund share class disclosure and fees in recent months. The SEC Staff is identifying perceived deficiencies in disclosures and practices, in response to which investment advisers are being asked to implement...
|Brexit: Potential Impact on Mergers & Acquisitions|
Simon Harms, Lisa Navarro, Gillian Sproul; Greenberg Traurig Maher LLP;
August 5, 2016, previously published on July 26, 2016This note addresses the potential impact of Brexit on transactions related to mergers and acquisitions (M&A). It is one of a series of GTM Alerts designed to assist businesses in identifying the legal issues to consider and address in response to the UK's referendum vote of 23 June 2016 to withdraw...
|Genus, Species, Phylum - What is an ETN?|
Jonathan M. Forster, John Kaufmann; Greenberg Traurig, LLP;
August 5, 2016, previously published on July 27, 2016Imagine an investment that gives you exposure to an underlying asset or index with low fees and no tracking risk. The investment allows you to gain direct, levered, inverse, or “kinked” exposure to a range of assets that you ordinarily would not be able to purchase. Now imagine that the...
|Coscia Gets 3 Years in Prison: The Criminalization of Trading Commodities?|
Harris L. Kay, Gregory K. Lawrence; Greenberg Traurig, LLP;
July 29, 2016, previously published on July 18, 2016Sarao, Coscia, and now the Berkshire Power Company, each charged with crimes - spoofing, fraud, false information - relating to commodity trading. Commodity traders likely have incorporated into their compliance regimes the general risk that allegations of criminal fraud could arise. These criminal...
|Agencies Continue to Actively Enforce the Limits of the Passive Investment Exemption Under the HSR Act|
Stephen M. Pepper; Greenberg Traurig, LLP;
July 29, 2016, previously published on July 14, 2016The U.S. Department of Justice (DOJ) announced July 12, 2016, that ValueAct Capital (ValueAct) has agreed to pay $11 million to settle allegations contained in a complaint filed in April of this year in the U.S. District Court for the Northern District of California that ValueAct violated the...
|SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule|
Marc M. Rossell; Greenberg Traurig, LLP;
July 29, 2016, previously published on July 18, 2016On July 1, 2016, the Securities and Exchange Commission (SEC) approved changes to the NASDAQ Listing Rules that will now require every NASDAQ-listed company to publicly disclose all agreements made between third parties and directors in connection with service or candidacy on a company’s...
|Medicare Pre-Claim Review Demonstration for Home Health Services|
Nancy E. Taylor; Greenberg Traurig, LLP;
July 29, 2016, previously published on July 18, 2016Beginning Aug. 1, 2016, the Centers for Medicare & Medicaid Services (CMS or Agency) will implement a three-year pre-claim demonstration for home health services in Illinois, followed by Florida, Texas, Michigan, and Massachusetts. The demonstration will begin in Florida no earlier than Oct 1,...
|NYS Department of Financial Services Adopts Final Rule Imposing Enhanced BSA/AML Compliance Standards on Financial Institutions|
Michael A. Berlin, Carl A. Fornaris, Harold N. Iselin, William B. Mack, Niall E. O'Hegarty; Greenberg Traurig, LLP;
July 28, 2016, previously published on July 11, 2016On June 30, 2016, the New York State Department of Financial Services (DFS or the Department) announced its adoption of the final version of its new regulation (the Final Rule) setting forth the required elements of “Transaction Monitoring and Filtering Programs” maintained by New York...
|The European Union Adopts the Anti-Tax Avoidance Directive|
Suzanne Hop, Thomas van der Vliet; Greenberg Traurig, LLP;
July 28, 2016, previously published on July 12, 2016Earlier today, 12 July 2016, the European Union (EU) Economic and Financial Affairs Council (Ecofin) formally adopted the so-called Anti-Tax Avoidance Directive (ATAD).
|EU-U.S. Privacy Shield v 2.0 Signed, Sealed, and Delivered|
Françoise Gilbert, Marie-José van der Heijden; Greenberg Traurig, LLP;
July 22, 2016, previously published on July 8, 2016The European Commission and the U.S. Department of Commerce have agreed on a new draft of the Privacy Shield agreement (Shield v 2.0). The documents that form the Privacy Shield v 2.0 are an updated version of those that were published in late February 2016, and were subsequently criticized by the...