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2017 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review
  • Baker & Hostetler LLP
  • Canada, European Union, Hong Kong, Ireland, United Kingdom, USA
  • September 20 2017

Welcome to BakerHostetler’s semi-annual Cross-Border Government Investigations and Regulatory Enforcement Review, with this edition delivering news


SEC Focuses on Initial Coin Offerings: Tokens May Be Securities Under Federal Securities Laws
  • Dechert LLP
  • USA
  • September 12 2017

The U.S. Securities and Exchange Commission (SEC) has recently taken several actions to make clear that it is focused on and actively monitoring the


SEC Releases New Form ADV To Be Used for Filings After October 1, 2017
  • Pepper Hamilton LLP
  • USA
  • September 7 2017

Many of the changes to Form ADV are housekeeping changes and clarifications, but several break new ground. In a long-awaited move, the


Blockchain for Business
  • Jones Day
  • Australia, Japan, USA
  • September 6 2017

As the interest in blockchain technology grows, companies will be confronted with numerous decisions, challenges, and legal issues pertaining to its


SEC Warns Initial Coin Offerings May Be Subject to US Federal Securities Laws
  • Hunton & Williams LLP
  • USA
  • August 17 2017

In 2017, over $1.3 billion has been raised by start-ups through Initial Coin Offerings ("ICOs"), a relatively new form of financing technique in which


Investment Management Update: June - July 2017
  • Ropes & Gray LLP
  • United Kingdom, USA
  • August 14 2017

On July 18, 2017, the SEC's Division of Investment Management posted Investment Company Reporting Modernization FAQs to its website, containing FAQs


Application of Morrison to Sponsored and Unsponsored ADRs
  • Clyde & Co LLP
  • Global, USA
  • August 7 2017

A number of recent district court decisions have examined whether U.S. securities laws apply to foreign companies' ADRs purchased and sold in the U.S


Federal Appeals Court Upholds Conviction and Sentencing of First Person Criminally Charged for Spoofing Under Dodd-Frank Prohibition
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2017

Yesterday, Michael Coscia's criminal conviction and sentencing for spoofing was unanimously upheld by a three-judge Federal Court of Appeals panel in


SEC Confirms Certain ICOs Are Securities Offerings; Regulators Renew Focus on Cryptocurrencies
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • August 4 2017

An ICO, or initial coin offering, is the sale of virtual coins or tokens, often as a means of capital raising by startup companies


SEC Warns That Digital Tokens May Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • August 3 2017

On July 25, the Securities and Exchange Commission (SEC or the Commission) published a Report of Investigation (Report) pursuant to Section 21(a) of