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Search Results (362) Documents on Investments, Venture Capital Show: results per page Sort by:  | Recent SEC Settlements Serve as Cautionary Tale About the Use of Unregistered Broker-Dealers by Investment Advisers
Courtney Patrick Mitchell, Victor B. Zanetti; Andrews Kurth LLP;
Legal Alert/Article March 28, 2013, previously published on March 21, 2013 The Securities and Exchange Commission (SEC) recently announced settlements involving a private equity firm, its former senior managing director, and an individual “finder” who solicited investors as an independent consultant for the firm. These settlements serve as a reminder to...
| | SEC Issues Guidance on Broker-Dealer Registration Exemption in Title II of the JOBS Act
Alan Bickerstaff, William J. Cooper, Jeff C. Dodd, Edward (Ted) A. Gilman; Andrews Kurth LLP;
Legal Alert/Article February 21, 2013, previously published on February 20, 2013 The staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) recently issued frequently asked questions (FAQs) providing guidance about the broker-dealer registration exemption in Title II of the Jumpstart Our Business Startups Act (JOBS Act).
| | Fiscal Cliff Legislation Extends Tax Incentive to Invest in Small Businesses
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article January 29, 2013, previously published on January 18, 2013 As a result of the recent “fiscal cliff” legislation, otherwise known as the American Taxpayer Relief Act of 2012 (2012 Tax Act), many individual investors are expecting future tax increases, either in the form of higher capital gains tax on their investment profits or higher income...
| | Shanghai Launches New RQFLP Programme
Yong Ren, Joyce J. Sun; Mayer Brown JSM;
Legal Alert/Article January 16, 2013, previously published on January 14, 2013 Shanghai quietly launched a new pilot programme, RMB Qualified Foreign Limited Partner (RQFLP), towards the end of 2012 to permit qualified foreign fund managers and asset management companies to raise offshore RMB from offshore investors to invest in RMB private equity funds set up in Shanghai.
| | Crowdfunding Remains on Hold until SEC Issues Rules
Van R. Mayhall, Van R. Mayhall; Breazeale, Sachse & Wilson, L.L.P.;
Legal Alert/Article December 28, 2012, previously published on December 2012 The Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act, also known as the CROWDFUND Act, carved a new exemption out of the Securities Act of 1933 and established a new method of raising capital for start-up businesses online. Once the Securities and Exchange Commission...
| | New CIRC Rules Aimed at Expanding China's Overseas Insurance Investment
Yong Ren, Joyce J. Sun; Mayer Brown JSM;
Legal Alert/Article October 31, 2012, previously published on October 30, 2012 China Insurance Regulatory Commission (CIRC) issued the Interim Measures on the Administration of Overseas Investments of Insurance Funds (the Interim Measures) in 2007 to establish a basic legal framework for China's domestic insurance sector to make offshore investments.
|  | Opportunities Abound in Canadian Capital Markets: A Case for Indian Entrepreneurs
Manoj Pundit, Krstina Skocic, Steve Suarez; Borden Ladner Gervais LLP;
Legal Alert/Article October 4, 2012, previously published on Fall 2012 The Canadian capital markets offer substantial opportunities for Indian companies interested in raising capital and gaining further exposure to foreign investors. The senior market for public trading in Canada is the Toronto Stock Exchange (“TSX”) while the TSX Venture Exchange...
| | SEC Proposes Amendments to Allow General Solicitation in Certain Private Offerings Pursuant to JOBS Act
Alan Bickerstaff, William J. Cooper, Jeff C. Dodd, Edward (Ted) A. Gilman; Andrews Kurth LLP;
Legal Alert/Article September 27, 2012, previously published on September 21, 2012 The Securities and Exchange Commission (SEC) recently proposed amendments to Rules 506 and 144A under the Securities Act of 1933 (Securities Act) to eliminate existing restrictions on general solicitation and general advertising (referred to throughout this alert as "general...
| | Crowdfunding Traps for the Unwary
Benjamin M. Hron; McCarter & English, LLP;
Legal Alert/Article September 5, 2012, previously published on August 31, 2012 The advent of online crowdfunding has been a tremendous boon to entrepreneurs. Through Kickstarter, Indiegogo and an increasing number of other sites, entrepreneurs can easily reach out directly to the masses to help fund innovative new projects, rather than seeking institutional capital through...
| | Proposed Changes in PRC Law Impacting on Fund Managers
Yong Ren, Phill Smith; Mayer Brown JSM;
Legal Alert/Article August 2, 2012, previously published on July 31, 2012 This update describes two recent PRC legal developments: the amendments proposed to be made to the Securities Investment Funds Law and the possible introduction of a qualified domestic limited partner (QDLP) scheme in Shanghai.
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