February 14, 2016

Securities, SEC, & Financial Institution Law News

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The National Law Review is a free resource of articles addressing legal issues related to the financial services and securities industries. Legal topics addressed include: financial regulatory, compliance, debt finance, broker-dealer, insolvency and restructuring, investment management and structured transactions. Details of actions by state and local governments, and by other governmental agencies as well as mediation and arbitration and civil actions from across the U.S. are added daily.

Date Title Organization
14
Feb
Lessons from Lumber Liquidators’ Recent Lacey Act Criminal Sentence: Are You Exposed to Costly Environmental Compliance Risks? Beveridge & Diamond PC
14
Feb
European Commission Announces Action Plan Against Terrorism Financing and Changes to the Fourth AML Directive Katten Muchin Rosenman LLP
13
Feb
Japan Financial Services Agency Finalizes Amendments to the Article 63 Exemption Morgan, Lewis & Bockius LLP
13
Feb
UK FCA Publishes Policy Statement on the Implementation of UCITS V Katten Muchin Rosenman LLP
12
Feb
European Commission and CFTC Announce Harmonized Approach to CCPs Katten Muchin Rosenman LLP
12
Feb
Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) Katten Muchin Rosenman LLP
12
Feb
FINRA Regulatory Notice Regarding Private Placements and Public Offerings Subject to a Contingency Katten Muchin Rosenman LLP
12
Feb
No Holidays for African Currencies Covington & Burling LLP
12
Feb
CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting Katten Muchin Rosenman LLP
12
Feb
Turning A Blind Eye Cost Lender Hundreds Of Millions Of Dollars; Inquiry Notice Spoils Lender’s Good Faith Defense In Fraudulent Transfer Case Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
12
Feb
Article 55 BRRD Can Impact Your Company Greenberg Traurig, LLP
12
Feb
Private Email Woes Infect The Private Sector in Delaware Allen Matkins Leck Gamble Mallory & Natsis LLP
11
Feb
Federal Reserve Board’s Faster Payments System Progress Report and What to Expect in 2016 Morgan, Lewis & Bockius LLP
11
Feb
Delaware Inspection Ruling May Cause Yahoo! Inc. To Regret Not Incorporating In Nevada Allen Matkins Leck Gamble Mallory & Natsis LLP
10
Feb
President’s Budget Proposal – A Lot of Bond Stuff Squire Patton Boggs (US) LLP
10
Feb
Creditors of Lehman Brothers Australia to Receive Further Dividends Squire Patton Boggs (US) LLP
10
Feb
How Mozambique Can Realize IMF’s Recent Predictions of Exponential Economic Growth Covington & Burling LLP
9
Feb
Sivolella 36(b) Excessive Fee Case: First to Trial Since 2009 Vedder Price
9
Feb
OCIE Announces 2016 Exam Priorities Vedder Price
9
Feb
SEC Issues Concept Release Relating to the Role of Transfer Agents to Mutual Funds Vedder Price

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