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Investors Licensing Rules

Proskauer - Regulatory & Compliance

Sanctions Considerations for Private Equity Firms – a few practical tips

Private equity firms could face significant sanctions risks when doing business with entities connected to sanctioned jurisdictions (such as Russia)...more

Parker Poe Adams & Bernstein LLP

How Certificate of Need Reform Is Impacting Ambulatory Surgery Centers and What it Means for Your Business

Recent Certificate of Need (CON) reform will likely lead to increased activity in ambulatory surgery center (ASC) transactions and expansion. As we covered in a Parker Poe webinar this week, North Carolina, South Carolina,...more

King & Spalding

Saudi Arabia's New Investment Law

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On August 11, 2024, the Kingdom of Saudi Arabia (the “Kingdom” or “Saudi Arabia”) issued the new Investment Law, pursuant to Royal Decree number M/19 (the “New Investment Law”), which is intended to replace the Foreign...more

Bradley Arant Boult Cummings LLP

Q&A with the Mississippi Securities Division: New Technology, New Rules and New Challenges

The Mississippi Securities Division is the closest regulator to the investing public of Mississippi.  Among other tasks, they protect investors from fraud and abuse and make sure those licensed securities professionals doing...more

Foley & Lardner LLP

8 Legal Issues Influencing Investors In The Creator Economy

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In recent months, there has been an onslaught of negative news surrounding startup investment. However, recent reporting from The Information points to two specific sectors where investment is actually on the rise....more

Epstein Becker & Green

NJ Approves Cannabis Regulatory Amendment with Major Impacts on Class 5 Retail License Holders

As of September 25, 2023, Bill A4151 was approved by the New Jersey Senate and is now law in New Jersey. This approved bill amends the existing New Jersey recreational cannabis regulatory landscape. Bill A4151, or P.L. 2023,...more

Skadden, Arps, Slate, Meagher & Flom LLP

JPEX Is Test Case for Hong Kong’s New Regulatory Regime for Virtual Asset Exchanges

Hong Kong regulators recently brought criminal enforcement actions against virtual asset trading platform JPEX and individuals associated with the platform. This case has become the first opportunity for local authorities to...more

Goodwin

Transactions in the Insurance Space: 4 Key Regulatory Issues

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The financial services industry continues to experience substantial growth and innovation as companies develop new ways to address evolving consumer expectations and risks. “Insurtech” refers to a relatively new and rapidly...more

King & Spalding

Switzerland’s pro arbitration and pro investors approach: An arbitration agreement binds the new State in case of secession

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In a world where country borders can be unstable and we increasingly witness aspirations to split or annex territory, foreign direct investment faces a growing risk. In a recent dispute, the Swiss Supreme Court (“SSC”)...more

Venable LLP

The Right Approach to Investments in New Space Enterprises

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The United States is in the midst of incredible growth in the New Space sector, from new low Earth orbit (LEO) satellite constellations and Earth sensing satellites to the development of novel in-space servicing, assembling,...more

Holland & Hart LLP

Colorado's Proposition 122: Too soon for the mushroom boom?

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In November 2022, Colorado passed Proposition 122 (Prop 122), arguably one of the nation's first "legalize and regulate" natural psychedelic medicine laws, and people are already filled with romantic images of magic mushroom...more

Tonkon Torp LLP

How Will Streamlined Cannabis Licensing Affect Compliance?

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The approval timeframe in Oregon’s cannabis licensing process was historically very long and the amount of documentation and disclosures required burdensome. Thankfully, over the past year, the Oregon Liquor and Cannabis...more

Rivkin Radler LLP

Cannabis Investors and Producers Face Need for Due Diligence

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The cannabis industry is growing in leaps and bounds, but entrepreneurs interested in developing cannabis companies – as well as business people interested in investing in them – must make certain that they know what they are...more

Robins Kaplan LLP

Financial Daily Dose 2.19.2020 | Top Story: Arguments Begin Regarding Facebook’s 2010 Tax Bill

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On Tuesday, a U.S. federal tax court began hearing arguments regarding Facebook’s 2010 tax bill. The IRS valued Facebook at $13.8 billion, while Facebook reported only $6.5 billion. The final tally could potentially cost...more

Akin Gump Strauss Hauer & Feld LLP

SFC Issues Guidance to Private Equity Firms and Family Offices on Licensing Issues

In recent years, the Hong Kong Securities and Futures Commission (SFC) has increasingly focused on private equity funds’ obligation to be licensed under the Securities and Futures Ordinance (SFO). In February 2019, the SFC’s...more

Dechert LLP

SFC Addresses Regulation of Managers of Virtual Asset Funds and Virtual Asset Discretionary Accounts

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In light of an increasing demand for virtual asset investment products, the Hong Kong Securities and Futures Commission (SFC) has been taking steps to clarify the legal and regulatory requirements for this market. In this...more

Dechert LLP

SFC Takes Enforcement Action Against Private Equity Firm, a Director and Investment Manager

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The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more

Latham & Watkins LLP

Update on the UAE Foreign Direct Investment Law: Part 1

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UAE Federal Cabinet approves Positive List of activities eligible for up to 100% foreign ownership. WAM, the Emirates News Agency, reported on 2 July 2019 (the WAM Report) that the UAE Federal Cabinet has approved 122...more

BCLP

Can Fintech Startups Carry Out Crowd-Funding in Hong Kong?

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What is crowd-funding? “Crowd-funding” is an umbrella term describing the use of small amounts of money, obtained from a large number of individuals or organisations, to fund a project, a business or personal loan, and...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Specialty Finance Mergers and Acquisitions: Developments and Considerations"

In a rapidly evolving financial services landscape, mergers and acquisitions activity in the specialty finance sector was robust in 2012 and early 2013, and the pipeline for transactions in this space continues to be strong....more

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