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|Court in LendingClub Class Action Requires Due Diligence by Lead Plaintiff Before Approving Lead Counsel|
John S. "Terry" McMahon; Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
September 28, 2016, previously published on September 27, 2016In a recent decision in the now-consolidated LendingClub class action cases, Judge William Alsup of the Northern District of California appointed a lead plaintiff but unexpectedly declined to appoint lead counsel at the same time. Instead, the judge ordered that candidates for lead counsel must...
|Access to Capital for Small and Medium-Sized Businesses - ASC Adopts New Capital-Raising Initiatives for Start-Up Businesses|
Alex Bruvels, Jonathan L. Doll; Borden Ladner Gervais LLP;
September 23, 2016, previously published on September 19, 2016The Alberta Securities Commission (ASC) has adopted ASC Rule 45-517 Prospectus Exemption for Start-Up Businesses (Start-Up Exemption) which came into effect July 19, 2016. The Start-Up Exemption is a prospectus exemption intended to allow Alberta-based small and start-up issuers to raise modest...
|Update on the New Saudi Arabian Companies Law and SAGIA Announcements|
Mahmoud Alsaif, Prem Anand; Jones Day;
September 22, 2016, previously published on September 2016The new Saudi Arabian Companies Law, discussed in our November 2015 Commentary, came into effect on May 2, 2016. In connection with the new law coming into force, the Ministry of Commerce and Investment ("MOCI") has published model forms for the Articles of Association and By-Laws for...
|SEC Adopts Changes to Form ADV and Books and Records Rules|
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Holly H. Smith; Sutherland Asbill & Brennan LLP;
September 19, 2016, previously published on September 19, 2016On August 25, the Securities and Exchange Commission (the SEC) adopted amendments to Form ADV Part 1 that will require SEC-registered investment advisers to provide a significant amount of new information.1 The SEC adopted these amendments to Form ADV to improve the depth and quality of information...
|Mass. District Court Holds Private Equity Funds Liable for a Portfolio Entity’s Pension Benefits|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
September 16, 2016, previously published on September 14, 2016The Private Equity Practice has been getting an increasing number of calls related to the decision made earlier this spring (Sun Capital Partners III, LP v. New Eng. Teamsters & Trucking Indus. Pension Fund, 2016 US Dist. LEXIS 40254 (D. Mass. Mar. 28, 2016)). Because this decision can greatly...
|Protecting Seniors: A Priority for FINRA, Federal and State Legislators, and Arbitration Panels|
Samuel E. Cohen; Marshall Dennehey Warner Coleman & Goggin, P.C.;
September 12, 2016, previously published on September 1, 2016America's aging population is growing rapidly and, as a result, a target for financial exploitation by unscrupulous individuals. Over the last several years, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have made protecting seniors a priority...
|Three Immigration Lawyers Sanctioned by the SEC for Brokering EB-5 Investments|
Douglas Hauer, Peter M. Saparoff; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
September 12, 2016, previously published on August 24, 2016The Securities and Exchange Commission (SEC) has just published three new decisions in connection with administrative proceedings against two well known immigration lawyers, as well as against a third lawyer. One party has allegedly earned $450,000 in commissions from one EB-5 Offeror alone. This...
|Italy Enacts New “White List”|
Carla Calcagnile, Luca Ferrari, Marco Lombardi; Jones Day;
September 12, 2016, previously published on September 2016On August 9, 2016 the Italian Ministry of Finance issued a Decree (“the Decree”) amending the list of countries that are deemed to allow for an adequate exchange of information with Italy, the so-called “White List” set out in Ministerial Decree of September 4, 1996.
|ACMPR: Same As It Ever Was — With More Options for Patients and Licensed Producers|
Andrew Powers, Michael Saliken, David Wood; Borden Ladner Gervais LLP;
September 9, 2016, previously published on August 30, 2016On August 24, 2016, the Access to Cannabis for Medical Purposes Regulations (ACMPR) replaced the Marihuana for Medical Purposes Regulations (MMPR) as the regulations governing Canada’s medical cannabis program. The ACMPR continues (but replaces) the MMPR with changes required by Allard v...
|Raising the Curtain on Canadian National Security Reviews: 2015-16 Investment Canada Act Report|
Subrata Bhattacharjee, Pierre N. Gemson; Borden Ladner Gervais LLP;
September 1, 2016, previously published on August 19, 2016Innovation, Science and Economic Development Canada ("ISEDC") has published its Annual Report on the Investment Canada Act (the "ICA") for the fiscal year 2015-2016 (the "Report"). The ICA is Canada's foreign investment review statute. The Report discloses statistics...