Capital Markets Archive » August, 2017

Capital Markets - August, 2017

271 articles

• EXCLUSIVE: DOJ Redaction Flub May Undermine Libor Case
• SEC Taps Ropes & Gray, Other BigLaw Attys For Top Posts
• Harvey Shows Advisers Need To Prep For Hell Or High Water
• Ex-HSBC Exec Headed To Trial Over Forex Scam
• SEC Sues Advisory Firm That Used F-Squared's 'AlphaSector'
• Chinese Early Childhood Education Co. RYB Files $100M IPO
• CFTC Fines NY Futures Trader For Bad Record Keeping
• Would-Be Class Too Broad In $1.12B RMBS Suit
• Australian Securities Agency Looks To Improve IPO Process
• The Psychology Of Hourly Fee Arrangements
• When IPO Companies Stumble Out Of The Blocks
• One Firm Edges Ahead Of Peers In Quiet August For IPOs
• Puerto Rico Board Argues Utility Receiver Will Doom Business
• Stanford Ponzi Victims Seek 5th Circ. Toss Of FINRA Award
• Dems Ask SEC Chair To Enforce Conflict Minerals Rule
• Deals Rumor Mill: Toshiba, Uber, Albaugh
• Export Development Canada Prices $396M Green Bond
• SunEdison Shopped For Ch. 11 Plan Votes, Court Told
• NYSE Wants Cos. To Delay End-Of-Day Material News
• Bitcoin Fraudster's Attys Urge Leniency, Citing Minor Role
• Tishman, Lehman Pull Out Win In 10-Year Archstone Slog
• Puerto Rico Board Says Fiscal Plan Gripes Aren't Actionable
• Alibaba-Backed Logistics Co. Raises IPO Target To $1B
• 2nd Circ. Upholds Ex-Spongetech CEO's $58M SEC Fine
• 'Emerging Growth' Cos. Urged To Brace For More Scrutiny
• Hedge Fund Appeals Shareholder Tax Form Decision
• SEC Warns Investors About 'Coin Offering' Fraudsters
• An Emerging Patchwork Of Cybersecurity Rules
• EU Commission Tweaks Law To Shut MiFID Trading Loophole
• Judge Won't Let Broker-Dealer Exit SEC 'Layering' Suit
• Congress Put Securities Suits In Fed. Court, Justices Told
• Puerto Rico Board Sues Gov. To Enforce Furloughs
• Hong Kong, Dubai Regulators Pledge Fintech Collaboration
• Hexing Adviser Charged In $20M Sports Store Ponzi Scheme
• Platinum Founder's Attys Told Not To Lean On Witnesses
• UBS Says Exclusions Don't Bar Puerto Rico Bond Defense
• Chinese Retailer, Tech-Focused Blank Check Co. File IPOs
• The Upside And (Possible) Downside Of IPO Filing Flexibility
• Investors, DOJ Clash Over Interviews In Forex Rate-Rig Row
• Self-Collection In E-Discovery — Risks Vs. Rewards
• Taxation With Representation: Davis, Skadden, Weil, Cahill
• Litvak Tells 2nd Circ. Lie In Bond Sale Isn't Securities Fraud
• Piwowar Didn't Abuse Acting Chair Role, SEC Watchdog Says
• 9th Circ. Expanded Whistleblower Protections, Justices Told
• 'Unicorn' Growth Continues To Plunge As Investors Pull Back
• CFTC Sues Pair Of Ex-Brokers In Forex Ponzi Scheme
• Deals Rumor Mill: BHP Billiton, Go-Jek, Excelitas Tech
• 2nd Circ. Has New Test For Determining 'Personal Benefit'
• Fed To Unveil Final Qualified Financial Contracts Rule
• HK Securities Commish, Police Team Up On Financial Crime
• Trump Slaps Venezuela's Maduro Regime With Sanctions
• 6 Common Lateral Partner Myths Debunked
• Yellen Cautions Against Broad Bank Rule Rollback
• Blank Check IPO Could Blaze New Path For Tech 'Unicorns'
• Judge Tosses $551M La Quinta Securities Class Suit
• SocGen Execs Hit With Libor Rigging Charges
• 6th Circ. Upholds Venezuela's Win in $100M Phony Debt Case
• Puerto Rico Creditors Want In On $6.2B Adversary Suit
• Convicted Spoofer Asks 7th Circ. To Reconsider His Case
• Platinum Co-Founder Asks 2nd Circ. To Nix Witness Gag Order
• 4 Ways Law Firms Can Help Battle Addiction
• Deals Rumor Mill: Toshiba, HTC, Invesco
• DOJ Says Deutsche Libor Case Survives 2nd Circ. Ruling
• Fed Lifts Extra Monitoring Of Santander US's Capital Plans
• Irish Building Products Co. CRH Inks $2.6B Sale Of US Unit
• Real Estate Industry In Anti-Money Laundering Crosshairs
• 2nd Circ. Ends Newman Relationship Test, But For How Long?
• BigLaw Triumvirate Leads US Securities Antitrust MDL
• SEC Charges Bond Issuer, Underwriter With Faulty Disclosure
• Wilmington Trust Says Fraud Indictment May Be Tainted
• A Law Firm Guide To Helping Victims Of Human Trafficking
• Water Pipe Co. Hid Business Woes From Investors, Suit Says
• FERC, Trader Settle Market Manipulation Case For $11.7M
• Beazley Says Ace Must Cover Nasdaq Investors In $31M Suit
• PE-Backed Dutch Bank NIBC Explores IPO
• Davis Polk Advises Purchasers In Amazon's $16B Debt Sale
• 2nd Circ. Upholds SAC Manager's Insider Trading Conviction
• Feds Move To Ease Capital Treatment For Smaller Banks
• 2nd Circ. Won't Give Litvak Interim Get-Out-Of-Jail Card
• FinCEN Expands High-End Real Estate Reporting To Hawaii
• SEC Tells Calif. Man To Hand Over $2.6M In EB-5 Proceeding
• CFP Board's Standards Proposal Gets Support, Suggestions
• Milbank Snags Ex-Latham Capital Markets Pro
• Microcap Finance Co. Pays $4.4M In SEC Settlement
• Deals Rumor Mill: Gates Global, Vectren, Eletrobras
• FDIC Chair Will Consider Cautious Tweaks To Volcker Rule
• Rental Services Co. Returns To Public Market In $1.1B Deal
• Dorsey Adds Norton Rose Securities Atty To Dallas Office
• Krystal Biotech Files $35M IPO Led By Morrison & Foerster
• OCC Wants 'Speculative' NY Fintech Charter Suit Tossed
• Cairn Bolsters India Arbitration With $249M Tax Refund Claim
• Florida Timeshare Co. Bluegreen Files Confidential IPO
• SEC's Policy Tweak On Confidential IPOs Benefits Issuers
• Diversity In The Legal Profession — A Stubborn Vision
• Why Midsize Firms Run The Gamut On Diversity
• Law Firms Head Back To School For Diversity Guidance
• GCs Find New Urgency In Longtime Push For Diversity
• RMBS Investors Lose Fight For Wells Fargo Sampling
• Journalists Allowed To Pursue Info From Puerto Rico Board
• Envigo Strikes Latest Deal With A PE-Backed Acquisition Co.
• Blue Apron Hit With Stock Drop Suit After IPO
• New Salary History Laws Crimp Attorney Hiring Process
• LPL Stock-Drop Action Must Be Strengthened, Judge Holds
• Legal Considerations After SEC's Warning Shot At ICOs
• How 5 Firms Are Building More Diverse Ranks
• The Top Firms For Minority Equity Partners
• The Best Firms For Minority Attorneys
• Racial Diversity Stagnating At US Law Firms
• Banks Shake Singapore Rate-Rigging Claims, For Now
• Alleged Precious Metals Scammers Settle CFTC Suit For $5.5M
• Judge 'Appalled' At Atty's Letter To Ex-Platinum Employee
• Puerto Rico Bankruptcy Case Challenge Certified To AG
• Chicken Soup For The Soul Raises $30M In Reg A+ IPO
• Banca IMI Pays SEC $35M Over Foreign Shares Handling
• Hedge Fund-Backed Peabody Energy Unveils 13M-Share Sale
• What S&P, FTSE Actions Mean For Multiclass Share Structures
• 5 Tips For A Successful Legal Blog
• Deutsche Bank, BofA Pay $65.5M To Settle In Bond-Fix Suit
• Judge Backs Injunction For Alleged $23M Scam Conspirators
• UK Forex Traders Want More Detail On Antitrust Charges
• SEC Clarifies Rules For Info On Confidential IPOs
• Deals Rumor Mill: China Unicom, Hub International, Energen
• Acadia Shareholders, Execs Slash Stakes In Health Care Co.
• FibroGen Prices $326M Follow-On To Fund Cancer Drug
• Capitol Investment Leads 2 Blank Check IPOs Topping $450M
• JPMorgan's $22M Swiss Franc Libor Deal Gets Preliminary OK
• OCC Opens The Debate On Volcker Rule Reform
• Bank Wants Defunct Airplane Co.'s $23.3M Hoard Doled Out
• Mizuho Says High Court Ruling Winnows Mt. Gox Claims
• Brothers Stole $855K From Investors, SEC Says
• Broker Asks 9th Circ. To Revive Barclays Dark Pool Suit
• Latham Steers Mexican Energy SPAC's Landmark $650M IPO
• Secret Service Agent Who Stole Bitcoin Cops To New Charge
• Judging A Book: Kopf Reviews Posner's 'Federal Judiciary'
• Bregal Sagemount Plugs Nearly $100M Into Financial Tech Co.
• Top Spring International Selling Project Stakes For $2B
• Apple Raises $1.97B In First-Ever Canadian Bond
• Brazilian Waste Co. To Be Taken Public In Tie-Up
• How CalPERS V. ANZ Securities Marks Gorsuch's Arrival
• Twice-Convicted Jefferies Trader Seeks Bail Pending Appeal
• 5 Signs A Company Isn't Ready For An IPO
• Ex-Fed Gov. Tapped To Chair Scandal-Plagued Wells Fargo
• CFTC Orders Sugar Trader To Pay $300K For Wash Trades
• Amazon Seeks Private Debt To Fund $13.7B Whole Foods Deal
• Genpact Announces 10M-Share Secondary Offering
• Feds Ease Capital Accounting For Some Derivatives
• The Use Of Special Masters In Complex Cases
• Notes From A Law Firm Chief Privacy Officer
• Banks Look To Deep-Six Swiss Franc Libor Class Action
• Puerto Rico Creditors Assail Board's Discovery Opposition
• Chinese Pharma Co. Gets Nasdaq Leeway Amid FCPA Probe
• PE-Backed Norwegian Cruises Launches 15M-Share Offering
• Equinix Sheds High-Speed Trading Access Suit
• Tesla Prices Upsized $1.8B Bond Amid Model 3 Launch
• Banks Seek Dismissal For Indirect Forex Manipulation Suit
• IOSCO Outlines Transparency Guidance For Bond Markets
• Notes From A Law Firm Chief Privacy Officer: New Demands
• Delayed Tax Reform May Be Slowing Economic Growth
• FERC Fights Barclays Trader's Bid To Exit $453M Penalty Case
• Dems Want Deutsche Bank Probe Over Russia, Trump Ties
• Banks Hope Regtech Can Adapt To Easing Oversight
• Ranger Energy, YogaWorks Raise $125M In Downsized IPOs
• Feds Say Platinum Partners Exec Threatened Witness
• 2 PE-Backed Energy Cos. File IPOs Totaling $200M
• Deals Rumor Mill: Miami Marlins, Saudi Aramco, Toutiao
• DOJ Pauses 1MDB Forfeiture Cases To Go After Individuals
• Thermo Fisher Raises $1.5B Debt To Fund Patheon Acquisition
• It's Time To Improve Voir Dire In Federal Court
• With End In Sight, Industry Mulls Life After Libor
• The Spoofing Statute Is Here To Stay
• Notes From A Law Firm Chief Privacy Officer: Insider Risks
• Coal Miner Contura Pulls $150M IPO Due To Market Conditions
• SEC Delays Decision On Chinese Chicago Exchange Buyout
• GOP Lawmakers Push Regulators To 'Repudiate' Choke Point
• Rising Star: Fried Frank's Mark Hayek
• Maynard Cooper Lures Back Bradley Arant Corporate Trio
• Cleary Advises Iraq On First Standalone Bond Since 2006
• Ex-Nomura Trader Says Hustling MBS Isn't Fraud
• Analysis Of The Fed's Proposed Expectations For Boards
• Toward A Culture Of Continuous Cybersecurity
• Notes From A Law Firm Chief Privacy Officer: Balancing Act
• DC Circ. Decision Highlights SEC's Oversight Tightrope
• Puerto Rico Sales Tax Bond Row On Track For Dec. Resolution
• CFTC Can't Have Lifetime Ban For Convicted Ex-Trader
• PE-Backed Cotiviti Unveils $370M Secondary Offering
• SEC Says Rules Haven't Stymied Financial Markets
• Dechert Guides Zealand Pharma's Upsized $78M IPO
• 4 Firms Guide British Tobacco Giant's Massive $17.25B Bond
• Rising Star: Alston & Bird's Tara Castillo
• 8th Circ. Rejects Row Over $381K Muni Settlement Shortfall
• How The IPad Can Be A Litigator's Best Friend
• Notes From A Law Firm Chief Privacy Officer: CPO Vs. CISO
• Fed, FDIC Extend Living Will Deadline For 19 Foreign Banks
• Securities Industry Asks IRS To Nix Political Subdivision Rule
• 7th Circ. Spoofing Decision Buoys Gov't Crackdown
• Bondholders Sue To Guard Puerto Rico Electric Co. Money
• 4 Key Points About The Expanded Senior Managers Regime
• DLA Piper Adds Ex-Paul Hastings Corporate Atty In Houston
• SEC Says Firms Have Room To Improve On Cybersecurity
• China Deals Expert Joins McDermott In Boston
• 7th Circ. Says Peregrine Forex Customers Can't Collect
• Rising Star: Morrison & Foerster's Justin Salon
• DC Circ. Wants More SEC Scrutiny Of Clearinghouse Plan
• SEC's Blockchain Stance Will Likely Impact Exchanges
• 5 Questions To Ask Before Entering Joint-Representation AFA
• Citi Is 2nd Bank To Settle In OTC Libor Row, Will Pay $130M
• Funds Look For Rulemaking Reprieve As SEC Director Departs
• Ubiquiti Investors Seek OK On $6.8M Deal Ending IPO Suit
• Fed Move To Ease Bank Boards' Load Isn't Pass On Oversight
• Chapman Adds 10 Finance Attorneys From Ashurst
• Hedge Fund Makes Bid To Toss Puerto Rico Bankruptcy Case
• Davis Polk Steers Colombia Banking Giant's $600M Bond Offer
• CFTC Fines Japanese Bank Over Spoofing
• First-Ever Spoofing Conviction Upheld By 7th Circ.
• BNY Mellon Ducks $100M RMBS Case 'Full Of Holes'
• India's Securities Regulator Forms Panel To Study Fintech
• Rising Star: Cadwalader's Wesley Misson
• Legal Incubators Can Help New Lawyers And Society
• Faegre Nabs M&A Pro From Bryan Cave In London
• Tesla Unveils $1.5B Bond Sale To Fuel Model 3 Production
• 15 Years Of SOX: Avoiding PCAOB Enforcement Sanctions
• Coinbase Gets Support From 3 Groups In IRS Summons Spat
• Banks Say US Court Lacks Jurisdiction in Libor Class Action
• DLA Piper Hires Finance Partner In Atlanta
• FXCM Owner Says Market Maker Suit Parrots Regulators
• CFTC Argues For Lifetime Ban For 'Dissembling' Trader
• Puerto Rico Board Tees Up Fight With Gov't Over Furloughs
• 3 Firms Set To Steer IPOs Totaling $310M Led By Coal Miner
• Rising Star: Jones Day's Emily Leitch
• Duane Morris Guides 3-Wheeled Car Maker Elio's $100M IPO
• Morningstar, Prudential Face Class Action Over Robo-Adviser
• Puerto Rico Bondholders Share The Pain
• 15 Years Of SOX: A Look At Compliance Costs And More
• Puerto Rico Oversight Board Says It Should Lead Debt Probe
• Fatburger, Buffalo's Cafe Parent Plans IPO To Raise $20M
• BOX Options Wins SEC Approval For Chicago Trading Floor
• S&P Policy Unlikely To Thwart Multiclass Stock Structures
• Del. Cryptosecurities Law Has Many Taking Notice
• Senate Confirms CFTC Chair, Commissioners
• Deals Rumor Mill: Saudi Aramco, Meituan-Dianping, BAWAG
• Judge OKs $148M JPMorgan, Deutsche Libor-Rigging Deal
• SunEdison Free To Push Back Rights Offering Cutoff
• Fed Moves To Ease Pressure On Bank Boards
• Swaps Investors Seek Class Cert. In ISDAfix Rate-Rigging Suit
• DC Circ. Keeps Gov't Appeal Of MetLife SIFI Ruling On Hold
• 15 Years Of SOX: A Significant Footprint In US And Abroad
• A Closer Look At New Guidance On Bond Markup Disclosures
• How To Prioritize Your Law Firm's Crisis Response Plan
• Is SEC Targeting Political Spenders In Disclosure Reviews?
• Deutsche Traders In Libor-Rigging Row Look To Nix Charges
• Backing IRS, Tax Court Says Investment Firm Used Shelter
• Regulators Will Have Room To Run On Volcker Rewrite
• Securities Broker, Indirect Owner Distinct Under NY Tax Law
• SEC Settles With Alleged Manipulator Of Texas Co.'s Stock
• Clementia Pharmaceuticals Raises $120M In Upsized IPO
• Oilfield Services Co., Drugmaker Launch IPOs Totaling $160M
• 15 Years Of SOX: A Whistleblower Promise Unfulfilled
• OCC Begins Volcker Rule Rewrite Process
• Innovating For Wise Juries: Closing Argument
• SEC Accuses Canadian Investor Of $17M Pump-And-Dump
• Bankrupt 'Hedge Fund' Boss Facing Charges Must Pay $1.4M
• Pharma Co. Won't Get More Time To Keep SEC Registration
• SunEdison Takes On Appeal Over Key Ch. 11 Plan Agreement
• Blank Check Deals Carry Soft IPO Market In July
• NY Judge Vacates Default Entry In $1.5M Forex Fraud Suit
• 2 Settle SEC Fraud Charges Over Shell Co. Offering
• A Light Regulatory Touch On Initial Coin Offerings
• SEC Battles For Asset Freeze In $23M Mortgage Fraud Suit
• DC Circ. Reverses Order Sealing MetLife SIFI Docs
• 15 Years Of SOX: It Is Time To Revisit The Burdens
• 5 Questions All AFAs Should Answer Clearly