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HTMLFinCEN Proposes IA AML Rule
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 28, 2015, previously published on August 27, 2015
The Financial Crimes Enforcement Network (FinCEN) recently proposed anti-money laundering (AML) rules for investment advisers registered or required to be registered with the SEC (Covered Advisers). These rules are aimed at Covered Advisers precisely because they are not required to maintain AML...


HTMLSixth Circuit Holds that Legal Entities are “Persons” Under the Fair Debt Collection Practices Act
Patricia J. Scott; Foster Swift Collins Smith P.C.;
Legal Alert/Article
August 27, 2015, previously published on August 27, 2015
Is a corporation a person? This oft-debated topic has been the subject of many legal disputes, and even found its way into the headlines during the 2012 presidential campaign. The U.S. Supreme Court recently, famously and controversially grappled with the issue of whether corporations are...


HTMLImportance of Risk Management Due Diligence in M&A Transactions
Edwin J. Broecker; Taft Stettinius & Hollister LLP;
Legal Alert/Article
August 17, 2015, previously published on August 13, 2015
A recent SEC disclosure by Vantage Drilling Company (“Vantage”) underscores the importance of thorough due diligence in the context of corporate mergers and acquisitions. Vantage, an oil and gas contractor based in Houston, acquired some drilling vessels from Hsin-Chi Su, a Chinese...


HTMLNon-Credit Financial Institutions Must Make Their Internal Control Systems Compliant With New Requirements by June 1, 2015
Irina Akimova; Capital Legal Services;
Legal Alert/Article
August 13, 2015, previously published on March 10, 2015
The beginning of March was marked by three regulatory documents of the Central Bank entering into effect, aimed at regulating internal control in non-credit financial institutions.


HTMLA Band-Aid Remedy?: New TCPA Rules for the Healthcare Industry
Thomas M. Byrne, Juan C. Garcia, Allegra J. Lawrence-Hardy, Rocco E. Testani, Lewis S. Wiener; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
August 12, 2015, previously published on August 12, 2015
Companies in the healthcare industry, along with virtually every consumer-facing business, are adjusting to the impacts of the Federal Communications Commission’s (FCC) July 10, 2015 Order resolving more than 20 petitions seeking clarification of the Telephone Consumer Protection Act (TCPA)....


HTMLUnited Kingdom Enacts Modern Slavery Bill Requiring Transparency in Supply Chains
Edwin J. Broecker, Payal Keshvani; Taft Stettinius & Hollister LLP;
Legal Alert/Article
August 11, 2015, previously published on August 7, 2015
On March 26, 2015, the Modern Slavery Act 2015 (the Act) received royal assent and on July 29, the Home Office published preliminary guidance regarding the Act. To give companies the opportunity to adjust to the requirements of the Act, the full provisions of the Act won’t commence until...


HTMLIllinois Court Strikes Down Chicago Pension Reforms, Deepening City's Financial Crisis
Ingrid Bagby, Thomas J. Curtin, Mark C. Ellenberg, Daniel Gwen, Ellen Halstead; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
August 10, 2015, previously published on July 29, 2015
On July 24, 2015, Judge Rita M. Novak of the Circuit Court of Cook County, Illinois struck down recently enacted legislation designed to shore up two of the City of Chicago’s severely underfunded pension plans by, among other things, reducing benefits.1 Judge Novak viewed as controlling a...


HTMLNext Decade LLC Enlists Financial Advisor
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 6, 2015, previously published on August 5, 2015
Next Decade LLC announced that it has engaged Sumitomo Mitsui Banking Corporation (SMBC) as Financial Advisor and Mandated Lead Arranger for its proposed Rio Grande LNG export terminal in Brownsville, Texas. According to the press release, SMBC, which has extensive experience in financing LNG...


HTMLFinancial Stability Board Delays Designation of Asset Managers as SIFIs
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 6, 2015, previously published on August 5, 2015
On July 30, the Financial Stability Board (FSB) announced its decision to delay finalizing assessment methodologies for non-bank non-insurer global systemically important financial institutions (“NBNI G-SIFIs”). Once finalized, these methodologies could result in the designation of...


HTMLSubscription Lenders - Beware of Investor Opt-Out
Bryan G. Petkanics, Peter G. Seiden; Loeb & Loeb LLP;
Legal Alert/Article
August 5, 2015, previously published on July 2015
Subscription lenders to a private equity fund base their credit decisions on the quality of the fund's investors whose capital commitments to the fund are pledged to secure the credit extensions. Inherent in the lender's acceptance of this risk is an understanding that the investors' commitments...


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