May 2014 Client Alerts

May 31, 2014

Authored by: Bryan Cave

Practice groups throughout Bryan Cave often prepare alerts on issues of interest to our clients and friends. Listed below are the Client Alerts published in May 2014.  Please click on the title to read the full text of the Alert.

SEC Confirms that FINRA May Investigate Non-FINRA Companies Controlled by a FINRA Member, published by the Broker-Dealer Litigation, Arbitration and Regulatory Practice on May 29, 2014.

CFTC Hopes To Attract More Whistleblowers With Issuance of First Award, published by the White Collar Defense and Investigations, Securities Litigation and Enforcement, and Labor and Employment Investment Management practice groups on May 22, 2014.

Court Strengthens Statute of Limitations Defense Against the SEC, published by the White Collar Defense and Investigations, Securities Litigation and Enforcement group on May 15, 2014.

Spreading the Sunshine in Private Equity:  SEC’s Observations from OCIE’s Presence Exams of Private Equity Fund Advisers, published by the Investment Management and Private Equity practice groups on May 14, 2014.

IRS Issues Guidance on Retiree Health Benefits Funded Through Captive Insurance Subsidiary, published by the Tax Advice and Controversy and Captive Insurance practice groups in May 14, 2014.

New Endangered Species Act Rules and Policy Proposedpublished by the Environmental group on May 15, 2014.

Russian Sanctions Creep (IRB No. 523), published by the International Trade CEE and CIS Team on May 13, 2014.

EU Expands Basis for Ukraine-related Sanctions Targets (IRB No. 523), published by the International Trade CEE and CIS Team on May 13, 2014.

At Last:  DoD Codifies Procedures for Addressing Foreign Ownership, Control or Influence (“FOCI”) Concerns, published by the National Security practice on May 6, 2014.

International Centre for Dispute Resolution (“ICDR”) Draft Procedures and Rules, published by the International Arbitration practice on May 8, 2014.

EU to Make It Easier to Confiscate Proceeds of Crime, published by the Global Anti-Corruption/Foreign Corrupt Practices Act Team on May 20, 2014.

Who is a Foreign Official Under the FCPA?  U.S. Appeals court Affirms Government’s Broad Reading of Instrumentality, published by the Global Anti-Corruption/Foreign Corrupt Practices Act Team on May 19, 2014.

Imminent Consumer Contracts Regulations Affecting Hotel Operators and Travel Agencies — Summary of Key Changes, published by the London Technology, Entrepreneurial and Commercial Practice and Retail Team on May 23, 2014.

Bankers Beware:  Global Financial Institutions and Regulated Firms Remain in the UK’s Firing Line, published by the Global Anti-Corruption/Foreign Corrupt Practices Act Team on May 19, 2014.

Hedging the Hedge — Are Hedging Losses Recoverable in Commodities Contracts, published by the Singapore Energy and Natural Resources group on May 14, 2014.

Labor and Employment Bulletin – May 2014, published by the London Labor and Employment practice on May 12, 2014.

EU & Competition Law Update – May 2014, published by the European Antitrust and Competition practice group on May 9, 2014.