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Adobe PDFNew York’s Highest Court Strengthens Forum Non Conveniens Doctrine in Cases Having Peripheral Connection to New York Banking System: Mashreqbank PSC v. Ahmed Hamad Al Gosaibi & Brothers Company
Sullivan Cromwell LLP;
Legal Alert/Article
April 15, 2014, previously published on April 10, 2014
In an opinion issued on April 8, 2014, the New York Court of Appeals unanimously dismissed on forum non conveniens grounds a case arising from a foreign exchange transaction between a bank in the United Arab Emirates and a general partnership in Saudi Arabia, where the only nexus between the...

 

HTMLSEC Publishes Second Set of Conflict Mineral FAQs Focusing on Audit Requirement
Jeffrey T. Haughey, Mary Anne O'Connell, Daniel J. Thompson; Husch Blackwell LLP;
Legal Alert/Article
April 15, 2014, previously published on April 9, 2014
The Securities and Exchange Commission (SEC) has released new answers to nine Frequently Asked Questions about the conflict minerals rule. The regulation requires most reporting companies to disclose the presence of conflict minerals in products that they manufacture or contract to manufacture. The...

 

HTMLCFTC Loosens Requirements for Swaps for Utility Special Entities
Annie Dai Kwan, Diana M. Liebmann, Jeffrey J. Nichols, Brian Sung; Haynes Boone LLP;
Legal Alert/Article
April 14, 2014, previously published on April 4, 2014
On March 21, 2014, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the CFTC issued a no-action relief letter (the “2014 Letter”), to temporarily allow entities to deal in utility operations-related swaps, as defined in the 2014 Letter, without counting...

 

Adobe PDFNo-Action Relief Granted With Regard To Certain Foreign Issuer Preliminary Proxy Filing Requirements
David S. Bakst, Harry R. Beaudry, John P. Berkery, Edward S. Best, Laura D. Richman; Mayer Brown LLP;
Legal Alert/Article
April 11, 2014, previously published on April 9, 2014
The staff (“Staff”) of the US Securities and Exchange Commission (the “SEC”) has provided no-action relief to certain foreign issuers that are subject to the SEC’s proxy rules. The relief allows these issuers to avoid filing preliminary proxy statements with the SEC...

 

HTMLFINRA Initiates Retrospective Rule Review Heavy on Process, Vague on End Game
Margaret R. Blake, Amy Natterson Kroll, Gail Marshall, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
April 11, 2014, previously published on April 9, 2014
On April 8, 2014, FINRA published two regulatory notices (“Regulatory Notices”) kicking off its much discussed retrospective review of significant rulemaking. According to FINRA, the purpose of the retrospective review is to determine whether specific rules are meeting their...

 

HTMLCanadian Securities Regulators Adopt New Prospectus Exemption for Existing Security Holders
Derrick K. Auch, Robert N. Black, Don Collie, Marek Lorenc; Davis LLP;
Legal Alert/Article
April 11, 2014, previously published on April 10, 2014
The securities regulatory authorities (“SRA”) in all Canadian provinces, except Ontario and Newfoundland and Labrador (“Participating Jurisdictions”) announced on March 13, 2014 that they have adopted the new existing security holder prospectus exemption (the “Existing...

 

HTMLMyanmar: Economic Opportunities Continue to Grow
W. Bryan Dunn, Johanna Goosen, P. Anthony McArthur, John Munnis, Barry Penner; Davis LLP;
Legal Alert/Article
April 11, 2014, previously published on April 8, 2014
Business opportunities in Myanmar have been growing, economic sanctions have been receding and the doors have been opening further for foreign investors since May 2013, when we last issued a bulletin on Myanmar. This bulletin provides an update on the significant changes the country is experiencing...

 

HTMLSEC Staff Issues Guidance on Investment Adviser Advertising and Social Media Commentary
Abigail Bertumen, Monica L. Parry; Bingham McCutchen LLP;
Legal Alert/Article
April 11, 2014, previously published on April 8, 2014
Many investment advisers have wanted to benefit from third-party comments about their firms in a social media site, but have been prevented by the so-called “testimonial” rule from using them. The Division of Investment Management (the “Division”) recently released guidance...

 

HTMLSEC Enforcement Staff’s Investigations of Financially Stressed Municipal Issuers
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
April 10, 2014, previously published on April 3, 2014
As reported by the Wall Street Journal, the SEC Enforcement Staff is one year into a wide-ranging review of disclosures made by financially stressed municipal bond issuers. This review has focused on whether municipalities made sufficient disclosures concerning the extent of their financial stress....

 

HTMLFour Things You Need to Know About the SEC Roundtable on Cybersecurity
Steven G. Brody, Jason E. Glass; Bingham McCutchen LLP;
Legal Alert/Article
April 10, 2014, previously published on April 7, 2014
Cybersecurity failures in 2013 exposed the vulnerabilities of the financial markets, financial institutions, and public companies to cyber-incursions. In setting an agenda for 2014, the U.S. Securities and Exchange Commission (SEC) announced that it would begin scrutinizing the cybersecurity...

 


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