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|The US Attorney, CFTC, and Navinder Sarao|
Douglas M. Grom, Harris L. Kay, Gregory K. Lawrence; Greenberg Traurig, LLP;
November 24, 2016, previously published on November 16, 2016We have previously provided updates1 on the Navinder Singh Sarao case, pending in the U.S. District Court for the Northern District of Illinois. After being charged in February 2015 with fraud and spoofing related to the 2010 Flash Crash, Sarao, then resident in the United Kingdom, fought a...
|DJ Mark Ronson and Bruno Mars Get “Funked” With New Copyright Suit Over “Uptown Funk”|
Anthony E. Faillaci, Brad Michael Scheller, Daniel B. Weinger; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
November 17, 2016, previously published on November 10, 2016On Friday, October 28, 2016, musicians Mark Ronson and Bruno Mars were hit with a copyright infringement suit based on their wildly popular hit “Uptown Funk.” The plaintiffs, consisting of one living member and the estates of the 1980s funk group, Collage, assert that Ronson and Mars...
|Court Dismisses Claims Alleging that Yahoo Is Illegally Acting as an Unregistered Investment Company|
Joel D. Rothman, Peter M. Saparoff; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
November 17, 2016, previously published on November 8, 2016Recently, the United States District Court for the Northern District of California (the “Court”) dismissed claims against Yahoo, Inc., holding that a 16-year old exemption granted to Yahoo by the Securities and Exchange Commission (“SEC”) barred the plaintiff’s claims...
|SEC Takes Initial Step to Require “Universal” Proxy Ballots in Contested Elections|
Ron S. Berenblat, Andrew M. Freedman, Kenneth M. Silverman, Steve Wolosky; Olshan Frome Wolosky LLP;
November 15, 2016, previously published on October 26, 2016On October 26, 2016, the Commissioners of the Securities and Exchange Commission voted 2-1 to propose to require universal proxy ballots in contested elections. Universal proxies would include all management and dissident nominees on one proxy card from which shareholders would vote. Proponents of...
|Institutional Shareholder Services Releases Proposed Voting Policy Changes for 2017|
Ron S. Berenblat, Andrew M. Freedman, Steve Wolosky; Olshan Frome Wolosky LLP;
November 15, 2016, previously published on October 28, 2016On October 27, 2016, Institutional Shareholder Services (“ISS”) released for public comment its proposed voting policy changes that would take effect for shareholders meetings held on or after February 1, 2017. These proposals cover a variety of corporate governance and executive...
|SEC Adopts Liquidity Risk Management Rules for Mutual Funds and Other Open-End Investment Companies|
Frederick R. Bellamy, Cynthia R. Beyea, Thomas E. Bisset, Steven B. Boehm, James M. Cain; Sutherland Asbill & Brennan LLP;
November 14, 2016, previously published on November 14, 2016On October 13, 2016, the SEC approved new Rule 22e-4 under the Investment Company Act of 1940, as amended (the 1940 Act), which will require certain open-end investment companies other than money market funds, to adopt and implement written liquidity risk management programs.1 In addition, new Rule...
|Common Reporting Standard & EU Beneficial Ownership Registers|
Filippo Noseda; Withers Bergman LLP;
November 11, 2016, previously published on September 8, 2016The CRS is essentially a tax measure that was designed to combat tax evasion in the country of residence of the relevant account holder. As such, any privacy and data protection analysis should take into account specialist insight.
|Are Private Placements the New Poison Pill? No, But they May Cause Some Indigestion|
Julie A. Bogle, Melanie Bradley, Fred R. Pletcher; Borden Ladner Gervais LLP;
October 28, 2016, previously published on October 26, 2016On October 24, 2016, the British Columbia Securities Commission and Ontario Securities Commission (the "Commissions") issued reasons for their July 22, 2016 decision, In the Matter of Hecla Mining Company. The decision confirmed that Dolly Varden Silver Corporation could close a C$6...
|Future Uncertainty in Plans of Arrangement|
Joëlle Dudelzak, Laura M. Poppel, Melissa Smith; Borden Ladner Gervais LLP;
October 27, 2016, previously published on October 24, 2016In Marquee Energy Ltd (Re), 2016 ABQB 563, a case concerning the structure of the proposed merger between Alberta Oilsands Inc. (“AOS”) and Marquee Energy Ltd. (“Marquee”), the Alberta Court of Queen’s Bench cast a degree of uncertainty in what has historically been a...
|Eligibility Criteria Relaxed for Citizenship by Investment Program|
Fragomen Del Rey Bernsen Loewy LLP;
October 17, 2016, previously published on October 7, 2016Foreign entrepreneurs, investors and their families will be subject to more flexible citizenship eligibility criteria on or after October 31, 2016, including a lower minimum investment amount and more investment options.