Financial Regulatory Forum

Foreign private equity braces for rough ride to China -ANALYSIS

By Guest Contributor
May 20, 2011

Helen H. Chan

HONG KONG, May 20 (Business Law Currents) Foreign-invested private equity firms are rallying in Shanghai, eagerly awaiting the results of a second round of applications for the Qualified Foreign Limited Partners (QFLP) scheme. In recent weeks, large international buyout firms such as Blackstone and the Carlyle Group have rejoiced over being some of the first to be awarded a QFLP license.

The Rajaratnam Verdict: Tip of the Iceberg – ANALYSIS

May 18, 2011

NEW YORK, May 18 (Business Law Currents) – The U.S. Securities and Exchange Commission’s trophy case gets a new addition with the conviction of Raj Rajaratnam, but shelf room is still available.

Private placements and conflicts of interest: do consenting adults need more protection? – COLUMN

By Guest Contributor
May 16, 2011

By Helen Parry, Thomson Reuters Accelus regulatory intelligence expert. The views expressed are her own.

U.S. insider cases reshape policy for U.S. companies, enforcers

May 9, 2011

David Sokol, Chairman, MidAmerican Energy Holdings, and Chairman, President, and CEO of NetJets, listens to a question during the Fortune Brainstorm Green conference in Dana Point, California in this April 13, 2010 file photograph. Former Berkshire Hathaway executive David Sokol has said he did nothing wrong in buying stock in a company that he then suggested Berkshire acquire.By Erik Krusch

NEW YORK  (Business Law Currents) Inside information seems to be making its way out of the office and boardroom and onto the Street where it is parlayed into lucrative stock trades. From former hedge fund mogul Raj Rajaratnam to erstwhile Berkshire Hathaway executive and reputed Warren Buffett successor David Sokol, individuals alleged to have traded on inside information are sweating in the proverbial hot seat.

U.S. chases elusive currency-detection technology

May 4, 2011

By Brett Wolf

ST. LOUIS, May 4 (Thomson Reuters Accelus) – To combat money laundering and contain the drug war raging along the U.S.-Mexico border, U.S. authorities are seeking technology that can detect the hoards of cash that smugglers try to spirit abroad.

Dodd-Frank and SEC blaze new trail for credit ratings

By Guest Contributor
April 20, 2011

NEW YORK, April 19 (Westlaw Business) – Dodd-Frank’s credit-rating provisions do more than just hamstring ratings agencies; they also open new frontiers of opportunity.

Taiwan takes tough stance on corporate governance

By Guest Contributor
April 19, 2011

By Patricia Lee

(Complinet) Taiwan’s Financial Supervisory Commission has stepped up enforcement of its corporate governance regulations by making it mandatory for listed firms and financial institutions to appoint independent directors and set up a remuneration committee. The latest regulations will carry a penalty in the event of any breaches, an FSC official told Complinet, speaking on condition of anonymity.

Where to put the ring-fence: implications of the UK bank report

By Guest Contributor
April 12, 2011

By Peter Elstob

LONDON, April 12 (Complinet) – The Independent Commission on Banking said on Monday that separating retail and wholesale banking in some way might have “a number of potential benefits”, and it invited views on the best design for a “retail ring-fence”.