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Governance & Securities Law Focus: Latin America Edition, November 2017

USA, United Kingdom, European Union, Hong Kong - November 27 2017 On August 17, 2017, the SEC’s Division of Corporation Finance issued guidance further extending an important accommodation provided to companies...

Robert Ellison, Stuart K. Fleischmann, Manuel A. Orillac, Jerome S. Fortinsky, Antonia E. Stolper, Jonathan Kellner, John Madden, Grissel Mercado, Alejandro Gordano, Doreen E. Lilienfeld, Jason R. Lehner.


MiFID II, Research and Extraterritoriality: The SEC, European Commission and FCA Solution

USA, United Kingdom, European Union - November 15 2017 On October 26, 2017, the US Securities and Exchange Commission, European Commission and the UK Financial Conduct Authority released, in a coordinated...

John Adams, Nathan J. Greene, Sara Evans, Barnabas W.B. Reynolds, Thomas Donegan, Russell D. Sacks.


Governance & Securities Law Focus: Latin America Edition, August 2017

USA, United Kingdom, European Union, Hong Kong, Italy - August 9 2017 On June 29, 2017, the US Securities and Exchange Commission's ("SEC") Division of Corporation Finance announced that, beginning on July 10, 2017, it...

Robert Ellison, Stuart K. Fleischmann, Manuel A. Orillac, Jerome S. Fortinsky, Antonia E. Stolper, Jonathan Kellner, John Madden, Grissel Mercado, Alejandro Gordano, Doreen E. Lilienfeld, Jason R. Lehner.


Family Offices Included as ‘Investment Advisers’ Under IPO Allocation Rule 5131(b)

USA - August 1 2017 On May 9, 2017, the Financial Industry Regulatory Authority, Inc. ("FINRA") issued an interpretive letter (the "Letter")1 regarding its IPO...


Governance & Securities Law Focus: Latin America Edition, May 2017

USA, United Kingdom, European Union, Global - May 31 2017 On March 1, 2017, the US Securities and Exchange Commission ("SEC") announced that foreign private issuers ("FPIs") that prepare financial statements...

Robert Ellison, Stuart K. Fleischmann, Manuel A. Orillac, Jerome S. Fortinsky, Antonia E. Stolper, Jonathan Kellner, John Madden, Grissel Mercado, Alejandro Gordano, Doreen E. Lilienfeld, Jason R. Lehner.