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|Fresh Tracks: Vermont Supreme Court's First Unitary Ruling Separates Insurer from Ski Resort|
Elizabeth Cha, Timothy A. Gustafson; Sutherland Asbill & Brennan LLP;
November 26, 2015, previously published on November 25, 2015In its first decision on combined unitary reporting since Vermont adopted combined reporting in 2006, the Vermont Supreme Court held that the AIG insurance group was not unitary with its wholly owned ski resort subsidiary, Stowe Mountain Resort. Applying the U.S. Supreme Court’s test for...
|SEC Adopts Final Rules Implementing the CROWDFUND Act|
Irv Berliner, Howard Bobrow, Mitchell D. Goldsmith, Bridget C. Hoffman, Arthur F. McMahon; Taft Stettinius & Hollister LLP;
November 18, 2015, previously published on November 6, 2015On Oct. 30, 2015, the United States Securities and Exchange Commission (the “SEC”) released the long-awaited final rules for crowdfunding transactions, as required by Title III of the JOBS Act, the CROWDFUND Act. The new rules, which do not meaningfully alter the framework provided in...
|Positions and Guidance from Authorities|
Philippe Goutay, Anselme Mialon; Jones Day;
November 13, 2015, previously published on November 2015In response to the European Commission's consultation on EMIR, the AMF issued on October 15, 2015 a response highlighting CCP authorization process, reporting requirements to trade repositories, as well as difficulties faced by management firms with regard to access to clearing and interactions...
|The New York Department of Financial Services Releases Potential New Cybersecurity Rules|
B. Scott Burton, Mark D. Herlach, Robert D. Owen, Robert J. Pile, Mark Thibodeaux; Sutherland Asbill & Brennan LLP;
November 13, 2015, previously published on November 13, 2015On November 9, Anthony Albanese, Acting Superintendent of the New York Department of Financial Services (the NYDFS), sent a letter to the 18 members of the Financial and Banking Information Infrastructure Committee (the FBIIC) that outlines key regulatory proposals that NYDFS is considering as new...
|Draft Law Proposes to Put an End to Dual Enforcement of Market Abuses and more Generally Overhaul Enforcement of Market Abuses|
Philippe Goutay, Anselme Mialon; Jones Day;
November 12, 2015, previously published on November 2015As previously reported, case law from both the European Court of Human Rights and the French Constitutional council requires amending current rules that provide for the dual enforcement of market abuses (i.e., insider trading, market manipulation, misinformation), both by the enforcement body of...
|Cooperative Finance Corp. Fights for Authorization to Issue Letters of Credit|
Sutherland Asbill Brennan LLP;
November 2, 2015, previously published on October 30, 2015The National Rural Utilities Cooperative Finance Corp. (CFC) continues to seek an exemption under the Federal Communications Commission’s Rural Broadband Experiment allowing it to issue letters of credit to its own members and those of an affiliate, Rural Telephone Finance Cooperative....
|Form BE-180, 2014 Benchmark Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons|
John P. Broadhurst, Geoffrey W. Haynes, Neil J. Koren, Carolyn S. Reiser, Christopher J. Rupright; Shartsis Friese LLP;
October 13, 2015, previously published on September 14, 2015The U.S. Bureau of Economic Analysis (“BEA”) is conducting the 2014 Benchmark Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons. This survey requires certain U.S. persons to file a Form BE-180 every five years. This report is not the...
|OCIE Issues New Cybersecurity Risk Alert|
Richard M. Cutshall; Greenberg Traurig, LLP;
September 24, 2015, previously published on September 21, 2015As evidenced by releases from various Divisions within the SEC, including the Division of Investment Management’s Guidance Update No. 2015-02 released in April of this year, issues of cybersecurity continue to be a focus of the SEC. The most recent example of this focus came earlier this week...
|FINRA's Projected 2015 Fines: Not Keeping Pace With 2014’s Total, But Still a Blockbuster Year|
Peter J. Anderson, Eric A. Arnold, Bruce M. Bettigole, Patricia A. Gorham, Olga Greenberg; Sutherland Asbill & Brennan LLP;
September 22, 2015, previously published on September 21, 2015Despite a slowdown in the fines reported in 2015, the Financial Industry Regulatory Authority (FINRA) has continued to flex its enforcement muscle so far this year. During the first half of 2015, FINRA reported $37.5 million in fines in its monthly Disciplinary and Other FINRA Actions publications...
|Sham lawsuits in lending cases between natural person in China?|
YingKe Law Firm;
September 18, 2015, previously published by Hg.org on September 17, 2015As every people can see, China economy is going down. With the tendancy, lending disputes are emerging with large amount. Among these cases are some sham lawsuits which influence judges' discretion.