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Aug 27, 2024 | 
mondaq.com | Nicholas Gervasi |Christian B. Hennion |Richard Marshall
Vice President Kamala Harris's selection of Minnesota Gov. Tim Walz as her running mate imposes restrictions on campaign
contributions to the Harris-Walz campaign by federally registered
investment advisers (RIAs), exempt reporting advisers (ERAs) and
their Covered Associates (as defined below) and other financial
industry professionals under various federal pay-to-play laws. As
Gov.
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Aug 8, 2024 | 
lexology.com | Richard Marshall |Harriet Campbell
An essential part of the litigation process, whether the case was initiated in the courts of England and Wales, or in the federal (and state) courts of the United States, is the formal process of exchanging information between the parties about the factual evidence that they intend to present at trial.
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Jul 30, 2024 | 
lexology.com | Richard Marshall |Harriet Campbell
Recent judgments have shone a light on the English courts’ interpretation of the notoriously complex rules on enforcement of foreign judgments. In particular, the courts have considered the effect of an appeal pending in the foreign court, the defendant’s submission to the foreign court, and whether or not a foreign judgment can form the basis for a winding up petition. Cases on the enforcement of foreign judgments are few and far between.
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Jul 23, 2024 | 
mondaq.com | Carl Kennedy |Daniel Davis |Richard Marshall |Alexander Kim
Katten's Financial Markets and Funds Quick Take is
a monthly newsletter highlighting key noteworthy developments
potentially affecting financial markets and funds.
To read more issues of Katten's Financial Markets and Funds
Quick Take, please click here.
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Jul 22, 2024 | 
jdsupra.com | Carl Kennedy |Daniel Davis |Richard Marshall
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
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Jun 28, 2024 | 
jdsupra.com | Richard Marshall
On May 16, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules relating to cybersecurity breaches involving investment advisers and brokers. Larger entities must comply with the new rules by January 3, 2026, and smaller entities must comply with the new rule by June 3, 2026. Regulation S-P previously had three main components: an information safeguards rule, privacy rules and an information disposal rule.
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Apr 1, 2024 | 
irei.com | Richard Marshall
Investors - APRIL 1, 2024 Infrastructure is attracting capital from investors around the world, drawn by its ability to deliver returns across the cycle. This capital flow is creating opportunities to invest in an increasingly diverse opportunity set, both with respect to sectors and geographies.
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Feb 16, 2024 | 
mondaq.com | James Brady |Susan Light |Richard Marshall
On February 6, 2024, the Securities and Exchange Commission
(SEC) adopted two new rules that expand who may be considered a
dealer or a government securities dealer under the Securities
Exchange Act of 1934, as amended (Exchange Act) and be required to
register in such capacity. The new rules depart significantly from
decades of established precedent distinguishing between
"dealer" activity necessitating registration and
"trader" activity that does not.
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Feb 8, 2024 | 
jdsupra.com | James Brady |Susan Light |Richard Marshall
On February 6, 2024, the Securities and Exchange Commission (SEC) adopted two new rules that expand who may be considered a dealer or a government securities dealer under the Securities Exchange Act of 1934, as amended (Exchange Act) and be required to register in such capacity. The new rules depart significantly from decades of established precedent distinguishing between "dealer" activity necessitating registration and "trader" activity that does not.
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Jan 2, 2024 | 
lexology.com | Richard Marshall
The Court of Appeal has overturned the Commercial Court’s decision on the validity of an interest rate swap transaction between an Italian authority and two Italian banks. In Banca Intesa Sanpaolo SPA & Anor v Comune Di Venezia [2022] EWHC 2586 (Comm), the appeal court ruled that the swaps between Banca Intesa Sanpaolo SPA and other banks, and Comune Di Venezia (Venice) were valid and binding, reversing the first instance decision.
