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|SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies|
Cynthia R. Beyea, Steven B. Boehm, Michael B. Koffler, Cynthia M. Krus, Lisa A. Morgan; Sutherland Asbill & Brennan LLP;
July 15, 2016, previously published on July 15, 2016On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies (funds).1 The Guidance Update provides the staff’s view on what funds...
|The Cost of Compliance in Alberta is Going Up — ASC Adopts New Participation Fee for Reporting Issuers and Changes Other Fees|
Jonathan L. Doll, Sharagim Habibi; Borden Ladner Gervais LLP;
July 12, 2016, previously published on June 20, 2016The Alberta Securities Commission (ASC) is adopting ASC Rule 13-501 Fees (Fee Rule), which will become effective on December 1, 2016, subject to obtaining the necessary Ministerial approval. The Fee Rule covers the payment of all fees to the ASC and, once effective, will replace the previous ASC...
|SEC Adjusts Thresholds for ‘Qualified Client’ Status - Effective Aug. 15, 2016|
Richard M. Cutshall; Greenberg Traurig, LLP;
July 7, 2016, previously published on June 17, 2016As it signaled its intent in May (notice available here), on June 14, 2016, the Securities and Exchange Commission (the Commission) issued an Order adjusting the net worth threshold for qualification as a “qualified client” under Rule 205-3 under the Investment Advisers Act of 1940, as...
|Another Change to Canada's Exempt Markets - New Harmonized Report of Exempt Distribution effective June 30, 2016|
Jason J. Brooks, Michael Burns, Rebecca A. Cowdery, Jonathan L. Doll, Christian Faribault; Borden Ladner Gervais LLP;
July 7, 2016, previously published on June 24, 2016Effective June 30, 2016, issuers distributing securities in Canada in the exempt market under certain prospectus exemptions will be required to use a new nationally harmonized form of exempt distribution report to report such trades to the applicable securities regulators. Amendments to National...
|Sovereign Debt Update|
Mark G. Douglas; Jones Day;
June 15, 2016, previously published on May/June 2016The Republic of Argentina returned to global debt markets after a 15-year absence on April 19, 2016, when it sold $16 billion in bonds to fund a series of landmark settlements reached earlier this year with holdout bondholders from the South American nation’s 2005 and 2010 debt...
|Changes to the Canadian Early Warning Reporting System|
Sharagim Habibi, Jonathan Poirier, Gordon G. Raman, Linda Tu; Borden Ladner Gervais LLP;
June 9, 2016, previously published on May 6, 2016The Canadian early warning reporting system presently requires shareholders to report (by promptly issuing a press release and filing an early warning report within two business days) when their ownership, control or direction (collectively, "ownership") over voting or equity securities...
|Treasury White Paper Portends Greater Federal Oversight of Marketplace Lending|
Lisa M. Ledbetter, Courtney Lyons Snyder; Jones Day;
June 3, 2016, previously published on May 2016On May 10, 2016, the U.S. Department of the Treasury ("Treasury") released a highly anticipated white paper recommending greater transparency and borrower protections for the marketplace lending industry. The white paper, titled Opportunities and Challenges in Online Marketplace Lending,...
|FRB Requests Comments on Proposed Single-Counterparty Credit Limits|
Scott A. Cammarn, Evan Weller; Cadwalader, Wickersham & Taft LLP;
June 3, 2016, previously published on March 17, 2016The Board of Governors of the Federal Reserve System ("FRB") has requested comments on reissued proposed rules that would establish a single-counterparty credit limits ("SCCL") for domestic and foreign bank holding companies with $50 billion or more in total consolidated assets....
|Director of SEC’s Division of Enforcement Promises More Enforcement Actions against Private Equity Fund Advisers|
Sutherland Asbill Brennan LLP;
June 2, 2016, previously published on June 1, 2016In a recent speech, Andrew Ceresney, the Director of the SEC’s Division of Enforcement, discussed his division’s focus on the private equity industry, reviewing eight recent enforcement actions that Enforcement’s Asset Management Unit has brought against private equity advisers,...
|Italian Government Enacts Further Measures to Boost Italian Lending Market|
Marco Frattini, Francesco Squerzoni; Jones Day;
June 2, 2016, previously published on May 2016During the last two years, the Italian government has focused on reforming the Italian lending market, with the aim of boosting access to financing for Italian businesses and improving bankruptcy and enforcement proceedings in Italy. As part of this reform process, the Italian Council of Ministers...