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|SEC Approves Rule Preventing Barters for Expungement Cooperation - What You Can Do to Ensure Compliance|
Peter J. Anderson, Eric A. Arnold, Keith J. Barnett, Bruce M. Bettigole, Patricia A. Gorham; Sutherland Asbill & Brennan LLP;
July 30, 2014, previously published on July 25, 2014On July 22, the U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 2081, which prevents firms or associated persons from conditioning settlement or otherwise paying customers for their cooperation in the complaint...
|Jebel Ali Free Zone Companies Now Able to List on NASDAQ Dubai|
Dentons Canada LLP;
July 29, 2014, previously published on July 2, 2014Companies established in the Jebel Ali Free Zone (JAFZ) can now apply to list shares on NASDAQ Dubai.
|Proposed Amendments to Venture Issuer Disclosure Requirements|
Jacques Du Plessis, Jonathan O'Connor; Goodmans - Vancouver;
July 29, 2014, previously published on July 9, 2014Earlier this year, the Canadian Securities Administrators (CSA) published for comment proposed amendments (the “Proposed Amendments”) to: (i) National Instrument 51-102 Continuous Disclosure Obligations (“NI 51-102”), (ii) National Instrument 41-101 General Prospectus...
|Investment Fund Managers - A Regulatory Check-up|
Cristian O. Blidariu, Michael C. Nicholas, Sean D. Sadler, Rene R. Sorell; McCarthy Tétrault LLP;
July 28, 2014, previously published on July 21, 2014The Ontario Securities Commission (“OSC”) has recently released two notices providing helpful guidance on the compliance operations of investment fund managers (“IFMs”). This guidance is contained in the 2013 annual review summary report for dealers, advisers and investment...
|New York Proposes “BitLicense” for Virtual Currency Trading|
Rebekah E. Raber; Husch Blackwell LLP;
July 28, 2014, previously published on July 24, 2014On July 17, 2014, New York became the first state to propose guidelines to regulate virtual currencies such as Bitcoin. The proposed rules issued by the New York Department of Financial Services (“NYDFS”) would require entities engaged in the “virtual currency business” to...
|SEC Adopts Rules and Guidance on Cross-Border Security-Based Swap Activities|
Luke B. Falgoust; Jones Walker LLP;
July 25, 2014, previously published on July 17, 2014On June 25, 2014, the Securities and Exchange Commission ("SEC") adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The rules and guidance explain when a cross-border transaction must be counted toward the...
|Halliburton II: A Triumph for Investors’ Rights and Market Integrity|
Thomas C. Goldstein; Bernstein Litowitz Berger Grossmann LLP;
July 25, 2014, previously published on Summer 2014In an important victory for investors’ rights in Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II), the United States Supreme Court reaffirmed on June 23, 2014 that investors are entitled to rely on the integrity of the prices of securities that are traded in well-developed...
|Secretary Lew Calls on Financial Institutions to Strengthen Their Cybersecurity Defenses|
Steven G. Brody, Jason E. Glass; Bingham McCutchen LLP;
July 25, 2014, previously published on July 17, 2014On July 16, 2014, U.S. Treasury Secretary Jacob J. Lew delivered the keynote speech at the Delivering Alpha conference, a gathering of hedge fund industry participants. Secretary Lew used this event to issue strongly-worded remarks on the serious nature of cyber-incursions, in particular the...
|SEC Brings First Whistleblower Anti-Retaliation Claim Under the Dodd-Frank Act|
Matthew T. Bohenek, Steven W. Hansen; Bingham McCutchen LLP;
July 25, 2014, previously published on July 10, 2014Dealing with a whistleblower who remains an employee after going to the Government has always been something like traversing a mine field. When the Securities and Exchange Commission (“SEC”) adopted Rule 21F-2, defining a “whistleblower” and making a violation of the...
|SEC Staff Issues Proxy Voting Guidance|
Abigail Bertumen, Lea Anne Copenhefer, Barry N. Hurwitz, Christopher D. Menconi; Bingham McCutchen LLP;
July 25, 2014, previously published on July 11, 2014Just before the July 4th holiday, the SEC’s Division of Investment Management and Division of Corporate Finance issued guidance on proxy voting. The guidance, which is a staff bulletin in the form of a Q&A, is the next chapter in an ongoing discussion about how investment advisers satisfy...