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HTMLEuropean Central Bank Publishes Final List of 'Significant Supervised Entities' in Preparation for Banking Union
Patrick Brandt, Sven G. Mickisch, William J. Sweet; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article
September 15, 2014, previously published on September 12, 2014
On 4 September 2014, the EU’s European Central Bank (ECB) published its final list of significant supervised entities and less significant institutions for the purposes of the Eurozone’s single supervisory mechanism (SSM), which will come into effect on 4 November 2014. The list, which...

 

HTML¿No Va? ĄSi va! Investing in Mexico’s Auto Industry
Annette De La Torre; Foley & Lardner LLP;
Legal Alert/Article
September 12, 2014, previously published on September 11, 2014
Mexico, our neighbor to the south, is growing every day as a leading producer in the automobile industry. Presently, Mexico is the world’s largest producer of light vehicles and the second largest in Latin America. Companies in Mexico in the light vehicle industry have approximately 18...

 

HTMLSEC Issues Annual Report on Form PF Disclosures
Sutherland Asbill Brennan LLP;
Legal Alert/Article
September 11, 2014, previously published on September 8, 2014
On August 15, 2014, the SEC’s Division of Investment Management (IM) issued its second annual report summarizing data collected through Form PF filings. What the report makes clear is that the SEC is using, not just collecting, data collected from Form PF filers in a number of ways across the...

 

HTMLSAFE's New Circular 37 Enhances and Facilitates Round-Trip Investment Registration in PRC
Patrick H. Hu, H. John Kao, Ian M. Liao, Jessie Chenghui Tang, Liming Yuan; Jones Day;
Legal Alert/Article
September 10, 2014, previously published on September 2014
On July 14, 2014, China's State Administration of Foreign Exchange ("SAFE") issued the Notice on Relevant Issues concerning Foreign Exchange Administration for Domestic Residents Engaging in Overseas Financing and Investing through Round-Trip Investment via Special Purpose Companies...

 

HTMLIs Your Baby Your Buyer’s Collateral?
Michael J. Mozes; Foley & Lardner LLP;
Legal Alert/Article
September 9, 2014, previously published on September 4, 2014
Even before dealing with the intricacies of nondisclosure agreements, employment offer letters, stock restriction agreements, and incentive plans, it is not unusual for founders to have already dreamt of an IPO or sale event. In fact, it is crucial for founders to consider when and how to make that...

 

HTMLIllinois Frees $30 Million for Solar Investment; Establishes Goals, Timeline
Kyle C. Barry; Husch Blackwell LLP;
Legal Alert/Article
September 4, 2014, previously published on September 2, 2014
On June 28, 2014, Illinois Gov. Pat Quinn signed House Bill 2427 authorizing the Illinois Power Agency (IPA) to conduct a one-time, $30 million procurement of Solar Renewable Energy Certificates (SRECs). This bill establishes a process for the IPA to help meet requirements adopted by the state in...

 

HTMLAlternative Investment Strategies
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
Funds that use alternative investment strategies should be aware of the SEC focus on their use in mutual funds and should evaluate their policies and procedures regarding, among other things, asset segregation and liquidity determination. Additional information regarding SEC statements on...

 

HTMLAnother Conflict of Interest Enforcement Action Taken by the SEC Against a Registered Adviser
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The president of a registered investment advisory firm, Jason D. Huntley, agreed to, among other things, a five-year bar from association with any investment adviser, broker, dealer, municipal securities dealer or transfer agent, for violations of the “anti-fraud” provisions under the...

 

HTMLImproving Prospectus Disclosure
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The staff of the SEC’s Division of Investment Management issued guidance urging mutual funds to be more succinct, avoid technical language and use plain English in the Summary Section of fund prospectuses.

 

HTMLSEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC has proposed extending to December 31, 2016, the sunset date for the expiration of Rule 206(3)-3T (the “Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). The Rule allows SEC-registered investment advisers who are also SEC-registered...

 


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