Securities and Exchange Commission (SEC), Foreign Investment, Due Diligence

The impact of the outbound investment rules on LP trades

Hogan Lovells on 5/29/2025

The secondaries market continues to mature and evolve, offering limited partners (“LPs”) an essential tool for portfolio rebalancing, liquidity management and strategic realignment. However, the introduction of the U.S....more

Recent Debarments Highlight Growing Risk of Sanctions By Multilateral Development Banks

Holland & Knight LLP on 3/16/2018

• Companies that operate globally face substantial risks associated with activities funded by multilateral development banks (MDBs). • Several recent debarment actions by the World Bank highlight those risks. • To...more

EB-5 Due Diligence Matters

Mintz on 11/6/2015

Private placement offerings are an increasingly active part of the securities business. One especially complicated and emerging area of private placements is the EB-5 Investor Visa Regional Center Program. Under the current...more

SEC Charges EB-5 Brokers For Not Registering

Carlton Fields on 10/5/2015

Multiple firms involved in the solicitation of investment capital for the Immigrant Investor Program (also known as "EB-5") have recently been charged by the SEC with acting as unregistered brokers. Neither In re Ireeco, LLC,...more

SEC Charges EB-5 Brokers with Violation of the Exchange Act

Blank Rome LLP on 7/14/2015

Action Item: In what is expected to be the first of many cease-and-desist orders made by the SEC against brokers handling investments in EB-5 investment projects, all EB-5 organizers and sponsors, through their due diligence,...more

SEC Freezes Assets and Brings Civil Charges against EB-5 Investor Visa Project

Sheppard Mullin Richter & Hampton LLP on 2/12/2013

In the first SEC enforcement action of its kind, the SEC announced on February 8, 2013 that it had filed civil charges against, and received an emergency order to freeze assets of, the Intercontinental Regional Center Trust...more