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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

Daniel is a partner in Reed Smith’s Global Capital Markets practice. Currently based in Reed Smith’s 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 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 "Highly Commended" by the FT Innovative Lawyers Awards in 2016 for 'Innovation in Human Resources". 

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's US securities practice is highlighted in various directories:

  • 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."
  • Legal 500 2015 recognises Daniel as being a “technically strong and driven” key contact, as well as recommended by Legal 500 for US securities matters.
  • Chambers & Partners 2014 states: “Daniel Winterfeldt is ‘someone you want to have on your side’ according to sources, who also highlight that he is ‘commercial and energetic.’"

Daniel was a member of the Equality & Diversity Committee at the Law Society of England & Wales for six years, and is a member of the Judicial Diversity Forum organised by the Judicial Appointments Commission.    

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

Employment History

  • 2016 - Reed Smith: Partner
  • 2011 - CMS Cameron McKenna: Head of International Capital Markets; Diversity and Inclusion Partner
  • 2007 - Simmons & Simmons: US Securities Partner; CR and Diversity Partner
  • 2005 - Jones Day:Senior Associate, US Securities

 


Edward is the head of Baker & McKenzie’s Capital Markets Group within EMEA. He joined Baker & McKenzie’s London office in February 2001. Prior to that time he practiced with law firms in New York and Chicago and was a financial analyst for IBM before becoming a lawyer. Edward is primarily engaged in ECM transactions for issuers across EMEA.

Edward is US and UK qualified. He is ranked as a leading capital markets practitioner in Chambers Global and Legal 500 and nominated for Lawyer of the Year by London's City AM newspaper in 2011. He is also the co-chairman of the U.S. Lawyers in London Forum and a steering committee member of the ABA's section on international securities.


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.