Cannabis Law Now Podcast: Cannabis Investing in the U.S. - The Good, the Bad, and the Ugly
Business Better Podcast Episode: Investing in Consumer Brands – A Conversation with SBJ Capital
Podcast: ESMA Report: Undue Pressure on Companies
FCPA Compliance Report-Episode 330 Robin Bew and Henry Stoever of the NACD
FCPA Compliance Report-Episode 328, Chris McNett on State Street Global Advisors' ESG Institutional Investor Survey
Seward & Kissel is reminding its clients about the recent January 2, 2025 compliance date for new Rule 13f-2 (the “New Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), as well as related reporting on...more
The Financial Conduct Authority (FCA) has recently published its Policy Statement on Payment Optionality for Investment Research (PS24/9), setting out its final rules on the new option to pay for investment research and...more
Net Asset Value (NAV)-based financing facilities (“NAV Facilities”) continue to proliferate in private equity. In response, the Institutional Limited Partners Association (ILPA) released comprehensive new guidance making the...more
This is the next installment of our multi-part series on the February 20 proposal by the U.S. Commodity Futures Trading Commission (the “CFTC”) in respect of proposed CFTC Regulation §1.44 (the “Proposed Rule”)....more
Amendments to the UK real estate investment trust (REIT) rules were introduced in the new Finance Bill 2023-2024, which is expected to become law in the summer of 2024. Published on 29 November 2023, the amendments reaffirm a...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
On the first day of the two-week United Nations Climate Change Conference of the Parties, more commonly referred to as COP28, delegates reached a landmark agreement to formerly create a Loss and Damage Fund, a rescue and...more
Judge Analisa Torres’ greatly anticipated Order in the SEC’s lawsuit against Ripple is a split decision. The Order basically finds that Ripple’s digital token XRP is a security when sold privately to individuals and...more
As we reported last week in Fund Finance Friday, Massachusetts Mutual Life Insurance Company (“MassMutual”) and Barings, one of the world’s leading investment managers and subsidiary of MassMutual, announced plans to...more
The number of Japan’s corporate venture capital (CVC) funds, which invest corporate funds directly in external startup companies, and amount of their investments have risen markedly in recent years. This is especially true in...more
The 27th United Nations Climate Change Conference of the Parties (COP27) was held in Sharm el-Sheikh, Egypt, in November 2020. While much was discussed, there are four takeaways that may be of greatest interest to business...more
This Top 10 practice tips provides practical guidance for counsel working on a registered direct offering (RDO). An RDO is a public offering of securities sold on a best efforts basis by a placement agent engaged by an issuer...more
HM Treasury and HM Revenue and Customs (HMRC) are consulting on proposed changes to the U.K.’s existing approach to sovereign immunity from U.K. direct taxation. The proposed changes would be a major step change in the...more
In our previous post, we highlighted a number of global goals and campaigns aimed at addressing climate change. In this post, we examine climate change-oriented policies and initiatives that are being adopted by many...more
Background - On 26 March 2021, the European Supervisory Authorities (the “ESAs”) published a Joint Opinion (the “Opinion”) on the jurisdictional scope of the obligations of the non-EU parties to securitisations under the...more
Corporate governance sometimes is the subject of “fads,” or initiatives that gain traction with dubious evidence-based justifications. Sometimes companies engage new theories or strategies because they “sound good,” or give...more
In a new paper, Alternative Venture Capital: The New Unicorn Investors, professor Anat Alon-Beck explores the rise of alternative venture capital (AVC) investors and the ways in which these investors are affecting unicorn...more
On Jan. 30, 2020, the Financial Industry Regulatory Authority (FINRA) proposed amendments to the Capital Acquisition Broker (CAB) rules to expand the range of permitted activities for CABs and their associated persons. ...more
Fund administrators reported to eVestment alternative AUA of $10 trillion through 2018, up 18.8% from the prior year. Fund administrators emphasized the build out of front- and middle-office offerings as a means to servicing...more
The Federal Trade Commission (“FTC” or the “Commission”) convened a hearing on December 6, 2018 to better understand the possible anticompetitive implications of institutional investors holding non-controlling amounts of...more
AGENDA - Overview of GIPS Standards - Goals of CFA Institute for GIPS 2020 Exposure Draft - Proposed Material Changes to GIPS Standards - Impact of GIPS 2020 Proposals on Market Participants - ...more
Cybersecurity is more than a compliance issue, it is a business issue for all businesses, including investment advisers. What do your policies and procedures say and are you actively following them? How are your service...more