Capital Markets

Expert Analysis

• How To Work With Regulators During Internal Investigations

  

  The recent courtroom battle over the admissibility of statements made by former Deutsche Bank traders shines a spotlight on a potentially recurring problem — excessive government entanglement in an internal investigation. Counsel conducting such investigations should take certain steps to minimize the risk, say attorneys with Troutman Sanders LLP.

• Merely A Setback For CFTC Market Manipulation Cases

  

  The U.S. Commodity Futures Trading Commission last month suffered a stunning blow to its expansive interpretation of market manipulation in its case against DRW Investments. But this does not quite spell the end for such cases, says Daniel Chirlin of Walden Macht & Haran LLP.

• Guest Feature

  The Subtle Art Of Fred Fielding

  

  He was White House counsel to two presidents. When Reagan was shot, he explained the chain of command to a four-star general. And until a few years ago, many people still thought he was Deep Throat during the Watergate scandal. Fred Fielding of Morgan Lewis & Bockius may be the quintessential Washington insider. White and Williams attorney Randy Maniloff learned more.

• What We Heard At The FTC Hearings: Day 14

  

  The eighth hearing in the Federal Trade Commission’s series on competition in the 21st century addressed concerns that stock holdings by institutional investors of noncontrolling interests in competing portfolio companies may have anti-competitive effects. Barry Reingold of Perkins Coie LLP offers some key takeaways.

• 10 Tips For Law Firms To Drive Revenue Via Sports Tickets

  

  Many law firms have tickets or luxury suites at sporting events to host clients and prospects. Matthew Prinn of RFP Advisory Group and Matt Ansis of TicketManager discuss some of the ways that firms can use those tickets effectively.

• Inside Key ABA Guidance On Attorneys' Cybersecurity Duties

  

  A recent opinion from the American Bar Association provides useful guidance on attorneys’ obligations to guard against cyberattacks, protect electronic client information and respond if an attack occurs, says Joshua Bevitz of Newmeyer & Dillion LLP.

• Prudential Framework For Large Banks Is Set To Change

  

  The Federal Reserve Board recently issued two proposals that represent a significant change in the prudential regulation of large banking organizations. Attorneys with Debevoise & Plimpton LLP examine the notable aspects of the new framework.

• A New, Focused Regulatory Agenda For The SEC

  

  The U.S. Securities and Exchange Commission's regulatory agenda for the coming year — announced last week — is not excessively long, which means Chairman Jay Clayton takes it seriously and intends to act on it, says Richard Marshall of Katten Muchin Rosenman LLP.

• Tax Reform Keeps Switzerland A Top Corporate Locale

  

  In this overview of the latest iteration of Swiss tax reform, Danielle Wenger and Manuel Vogler of Prager Dreifuss AG discuss key measures of the new reform and assess the impact for corporations.

• Opening Comments: A Key Strategic Decision In Mediation

  

  Opening comments by parties in mediation that are made with the proper content and tone can diffuse pent-up emotion and pave the way for a successful resolution. But an opening presentation can do more harm than good if delivered the wrong way, say Jann Johnson and William Haddad of ADR Systems LLC.