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International Market and the JOBS Act Amendments Eliminating the Prohibition on General Solicitation and General Advertising Under New Rule 506(c) of Regulation D and Rule 144A

Speaker(s): Daniel K. Winterfeldt, Edward A. Bibko, Laura A. Holleman
Recorded on: Jun. 11, 2014
PLI Program #: 56306

Edward Bibko is the General Counsel, EMEA and Asia, for Jefferies. Previously he was a law firm partner specializing in cross-border listings onto the London Stock Exchange. Edward is US- and UK-qualified and has advised on capital markets transactions for more than 25 years. In addition to acting as co-chair of the US Lawyers in London Forum, he is on the Court of the Worshipful Company of Solicitors and is currently shortlisted for the Association of Corporate Counsel’s General Counsel of the Year award. Edward lives with his wife and an elderly cat, and enjoys mixing cocktails.

Daniel is a partner in Reed Smith’s Global Capital Markets practice. Currently based the London office, Daniel’s practice focuses on representing US, UK, European and Asian investment banks and corporate issuers in a wide range of securities transactions, including Rule 144A and Regulation S equity and debt offerings; Category 3, Regulation S transactions for US companies listing in the United Kingdom; rights offerings; exchange offers; equity-linked securities offerings; initial public offerings and secondary and follow-on offerings of equity securities, including SEC-registered transactions. 

Daniel founded the Forum for US Securities Lawyers in London in 2006 to address US securities issues in the London market across law firms, banks and intermediaries.  The Forum was short-listed by the British Legal Awards in 2009 for ‘Law Firm Innovation’.  The Forum was 'Highly Commended" by the FT Innovative Lawyers Awards in 2016 in the category ‘Innovation in Navigating Regulation’.

Daniel is also the founder (2008) and chair of the InterLaw Diversity Forum, which seeks to promote meritocracy and inclusion for diverse groups in the legal sector.

The InterLaw Diversity Forum was ‘Standout Winner’ for ‘Diversity’ at the FT Innovative Lawyers Awards (2008); it was ‘Highly Commended’ by the FT Innovative Lawyers Awards for ‘Innovation in Human Resources’ (2016); and shortlisted for ‘Excellence in Diversity & Inclusion’ at the Law Society Excellence Awards (2019).

Daniel was named the ‘Legal Innovator of the Year’ at the FT Innovative Lawyers Awards in 2012 for his work in capital markets and diversity and inclusion. Daniel was ‘Highly Commended’ for ‘Solicitor of the Year – Private Practice’ at the 2019 Law Society Excellence Awards.

Daniel was a member of the Equality & Diversity Committee at the Law Society of England & Wales for six years; he was a member of the Judicial Appointments Commission’s Judicial Diversity Task Force for three years.

Daniel was a member of the Primary Markets Group of the London Stock Exchange for seven years.

Daniel was admitted to the Bar of the Supreme Court of the United States in 2013.

Daniel's US securities practice is highlighted in various directories:

  • Legal 500 2020for Equity Capital Markets states that Daniel is “highly recommended” with testimonials stating: “Daniel Winterfeldt is a force of nature.” and “Especially strong in US securities law.”
  • Legal 500 2017 writes:  Daniel Winterfeldt is 'one of the few go-to lawyers in London for US securities law', is 'a go-to person for advice on complex US securities matters', and acts as a key regulatory adviser to the LSE.
  • Chamber & Partners 2017 lists Daniel as a 'Notable Practitioner' and writes: "Daniel Winterfeldt …is 'unquestionably one of the best US lawyers in London. His understanding of US securities is great, and he translates it to make issues understandable' ... Clients admire his technical expertise.”
  • Chambers & Partners 2016: “[Daniel] is tenacious, determined and has a deep knowledge of US securities law”, comments one client, who adds: "This enables him to think about solutions that work from a UK and US legal and commercial perspective."

Laura is general counsel of the Investment Banking Division (IBD) with global responsibility for the IBD Legal and the Capital Markets Legal groups. She serves as counsel to the Firmwide Commitments Committee and Asia Pacific Commitments Committee and is a member of the Firmwide Operational Risk Committee and the IBD Client and Business Standards Committee. Laura also represents the firm on the Equity Capital Markets Board of the Association for Financial Markets in Europe. She is the Legal Department’s MD ally for the Lesbian, Gay, Bisexual and Transgender Network.

Laura joined Goldman Sachs in 1998 as a vice president in the Special Execution Group (now IBD Legal) and became co- head of the European group in 2001. She was named managing director in 2004.

Prior to joining the firm, Laura was an associate with the London office of Sullivan & Cromwell from 1992 to 1996 and a vice president with J.P. Morgan Investment Management Inc. in London in the Legal and Compliance Department in 1997.

Laura earned a BA in International Relations from Michigan State University in 1988 and a JD from The Ohio State University College of Law in 1992.