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|Harmonized Securities Regulation For Canadian Public Investment Funds Finalized With Twists (But There’s More To Come)|
Rebecca A. Cowdery, Carol E. Derk, K. Ruth Liu, Lynn M. McGrade; Borden Ladner Gervais LLP;
July 21, 2014, previously published on July 9, 2014On June 19, 2014, the Canadian Securities Administrators (CSA) published final amendments to National Instrument 81-102 Mutual Funds - to be renamed Investment Funds - and related instruments as part of Phase 2 of the CSA’s project to modernize the regulation of publicly offered investment...
|Court Finds CFIUS Violated Ralls Corporation’s Due Process Rights|
John M. Beahn, Joshua F. Gruenspecht, John P. Kabealo, Ivan A. Schlager, Malcolm J. Tuesley; Skadden, Arps, Slate, Meagher & Flom LLP;
July 19, 2014, previously published on July 17, 2014On July 15, 2014, the United States Court of Appeals for the District of Columbia remanded Ralls Corporation’s (Ralls) precedent-setting case against the Committee on Foreign Investment in the United States (CFIUS or the committee) and President Obama to district court for the enforcement of...
|Revised Negative List for Shanghai FTZ - Substantive Changes for Foreign Investors?|
Frank L. Qi, Betty F. K. Tam; Mayer Brown LLP;
July 17, 2014, previously published on July 17, 2014It has been over nine months since the Shanghai Free Trade Zone (FTZ) was launched and a “negative list” approach for foreign investment adopted in the FTZ. On 1 July 2014, the Shanghai Municipal People’s Government issued a revised version of the negative list (the “Revised...
|Reverse Churning: Don't Fall Asleep at the Wheel|
Benjamin B. Coulter, Rhett Owens; Burr & Forman LLP;
July 17, 2014, previously published on July 10, 2014It is obvious that broker-dealers and their registered representatives, and investment advisors, must be careful in making recommendations to clients. But the recent increase in regulatory interest relating to inaction in a client account should also give pause to members of the securities...
|Is your company planning to raise money from outside investors?|
William F. Miller; Pannone Lopes Devereaux & West LLC;
July 16, 2014From time to time, many private companies have a need for additional capital that cannot be satisfied by bank debt or further investment by the existing shareholders. Before seeking private investment capital, it is a good idea to know how these transactions are typically structured and what...
|A View from Italy: New Italian Private Corporate Debt Rules— Opportunities for Foreign Investors|
Luigi Santa Maria, Ada Villa; Greenberg Traurig LLP;
July 16, 2014, previously published on June 26, 2014The Italian government extensively amended the laws governing corporate bonds through Growth Decrees and Destinazione Italia Decree, with the aim of rendering the corporate bond market an effective source of financing, alternative to traditional bank funding, for non-listed companies, and removing...
John R. Hempill, Lauren Lewis; Sheppard, Mullin, Richter & Hampton LLP;
July 15, 2014, previously published on June 24, 2014On October 24, 2013, the Securities Exchange Commission (the “SEC”) published proposed rules (Release Nos. 33-9470; 34-70741) to permit companies to offer and sell securities through “regulation” crowdfunding as proposed in the Jumpstart Our Business Startups Act (the...
|Streamlined Venture Issuer Disclosure?|
Tiffany Lee Bianchi, Michael A. Gerrior, Robert P. Kinghan, David Lowdon, Lorraine Mastersmith; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
July 15, 2014, previously published on July 2, 2014The CSA recently published a notice and request for comment regarding proposed amendments to the continuous disclosure obligations and audit committees of venture issuers the “Venture Issuer Amendments”). This is a follow on initiative to the CSA’s previous more comprehensive...
|MOFCOM Removes Capital Contribution Restrictions on Foreign Investments in China|
Joyce J. Sun, Betty F. K. Tam; Johnson Stokes & Master Mayer Brown JSM;
July 15, 2014, previously published on July 2, 2014On 17 June 2014 the Ministry of Commerce of China (MOFCOM) issued the Notice on the Improvement of Foreign Investment Approval and Administration Matters (“Notice”), confirming that the company registration system reform introduced in China earlier this year applies equally to...
|French Regulator Clarifies Position with Respect to Marketing of Alternative Investment Funds in France|
Philippe Goutay, Anselme Mialon; Jones Day;
July 15, 2014, previously published on July 2014On June 30, the French Securities Regulator (the "AMF") issued guidance in the form of Instruction DOC-2014-03 on the procedures for marketing shares and units of alternative investment funds ("AIFs"). In doing so, the AMF brings welcome clarity to the French position with...