When Foreign M&A Advisers Approach US Targets

Law360, New York (June 3, 2013, 5:34 PM EDT) -- On May 28, 2013, the staff of the Division of Market Regulation at the U.S. Securities and Exchange Commission granted no-action relief to Roland Berger Strategy Consultants, an independent strategy consultancy firm based in Germany, in a letter issued to Bingham McCutchen partner, Amy Natterson Kroll.[1]

The staff’s no-action letter tackles, in part, the question of when U.S. broker-dealer registration is required if a non-U.S. firm is providing merger and acquisition advice to non-U.S. clients where target companies may be located in the U.S. or be...
To view the full article, register now.

UK Financial Services

UK Financial Services

Read Our Latest UK Financial Services Coverage

Financial Services Law360 UK provides breaking news and analysis on the financial sector. Coverage includes UK and European Union policy, enforcement, and litigation involving banks, asset management firms, and other financial services organizations.