Dodd-Frank’s “Living Will Rule” and the Impact on Financial Firms

  While the Dodd-Frank Act has had a broad impact on banking, one of the key aspects is the “Living Will Rule,” which seeks to limit the risks of “too big to fail” financial institutions in the United States. In this exclusive LegalMinds/NASDAQ Securities & Capital Market Series interview, Walter Mix III, a former bank [...]

Best Practices in Corporate Governance

  In this exclusive LegalMinds/NASDAQ Securities & Capital Market Series interview, Marsh & McLennan Companies’ (NYSE:MMC) Deputy General Counsel and Corporate Secretary Lucy Fato discusses “best practices” and key corporate governance issues, including the separation of the Chairman and CEO roles, board declassification, shareholder outreach and the challenges of board diversity and recruitment. In addition [...]

Cautious Optimism in the Leveraged Finance Market

In this exclusive LegalMindsTV interview, Sherman & Sterling’s Joshua Thompson discusses the outlook for leveraged finance transactions. “We’re seeing a number of interesting deals in the market,” says Thompson.  “In addition to bank bond deals and complex refinancing, we’re also seeing private equity sponsors taking the initiative in what remains a relatively good market to [...]

Emerging Growth in Latin America’s Capital Markets

While the U.S. and Europe have been facing significant economic challenges, growth in Latin American countries continues to exceed expectations.  After emerging from an economic slump in 2008-2009, the region’s economies grew at a rate of 6% in 2010 and continue to rise — with the World Bank recently projecting 4-5% increases in 2011. According [...]

Structuring Public and Private Transactions in the Current M&A Environment

As many companies and private equity firms have been accumulating large amounts of cash over the last three years, they’re coming under increased pressure to deploy that cash productively.  According to Clare O’Brien, a partner in the Mergers & Acquisitions Group at Shearman & Sterling LLP, this has led to an increase in M&A activity [...]

The Legal Challenges of Privacy, Computer Fraud and Data Security

The development of new technology platforms and explosive growth of social media presents companies with complex legal challenges — from securing trade secrets to safeguarding customer privacy, not to mention protecting your company from potential litigation or direct economic loss. While an old adage has been that companies’ greatest assets walk out the door at [...]

Share Repurchase Considerations

With an improving economy and an increase in cash assets, many companies are expanding their stock buyback activity.  While few expect an increase to the levels seen five years ago, which capped a meteoric 25 year rise from $5 billion to almost $350 billion, there has been a steady growth in share repurchase in the [...]

Hybrid Financing: Certain Ideas for Uncertain Times

In response to the continued volatility and uncertainty in the public markets, there has been an increase in popularity of hybrid financing vehicles such as PIPEs and Registered Direct offerings for public companies seeking to raise capital. According to James Tanenbaum, chair of Morrison & Foerster’s Global Capital Markets practice, these transactions formats, which have [...]

Preparing to Raise Capital in Volatile Markets Using a Shelf Registration

In  today’s volatile market, companies are under increased pressure to time their capital-raising needs with changes in the market.  One of the more effective ways for public companies to approach this challenge, says Morrison & Foerster’s Anna Pinedo is through a shelf registration – often referred to as a short-form registration statement – a type [...]

“Say on Pay” and Other Issues for the Upcoming Proxy Season

Each proxy season seems to be getting more and more complicated in terms of the new requirements as to what both the SEC and shareholders expect and this year will be no exception. According to David Lynn, Co-chair of Morrison & Foersters‘ Public Companies and Securities Practice and former Chief Counsel of the Securities and [...]

Challenges & Opportunities Accessing Capital Markets

Changes in the regulatory landscape are having a profound impact on companies seeking to access the capital markets.  In this exclusive LegalMindsTV interview, Steven Khadavi, Co-Chair of the Capital Markets practice Group at Dorsey & Whitney LLP, discusses some of the challenges these companies face. According to Khadavi, “companies considering accessing the capital markets need [...]

Venture Investments in the Cleantech Sector

Investments in cleantech have helped lead a strong turnaround in the venture capital market after the first quarter of 2009 – pulling ahead of biotech and software as the largest area of investment and closing out the year with more than 75 deals in the month December and the announcement of Hudson Clean Energy Partners’ [...]

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