Mondaq All Regions: Corporate/Commercial Law > Securities
Affleck Greene McMurtry LLP
IIROC guidance highlights limitations on limitation of liability clauses in retail client account agreements.
Blake, Cassels & Graydon LLP
With an ever-shifting regulatory landscape filled with complex and evolving risks, public companies need to be vigilant in ensuring...
Norton Rose Fulbright Canada LLP
At the conclusion of a six day hearing, the Hearing Panel determined that Staff had succeeded in proving all of its allegations.
Blake, Cassels & Graydon LLP
The Ontario Securities Commission (OSC) recently released its 2019 OSC Annual Report (Report), which provides enforcement statistics from 2019 and discusses the OSC's priorities for 2020.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
This update provides an overview of key regulatory developments in the past three months relevant to companies listed, or planning to list, on The Stock Exchange...
Cyril Amarchand Mangaldas
In our previous blog post, dated June 12, 2019, we discussed the Securities Exchange Board of India's (SEBI) efforts to institutionalise an informant ...
Sheppard Mullin Richter & Hampton
In North Sound Capital, LLC v. Merck & Co, Inc., No. 18-2317, 2019 WL 4309663, 2019 U.S. App. LEXIS 27518 (3d Cir. Sept. 12, 2019), the United States Court of Appeals for the Third Circuit ...
Cadwalader, Wickersham & Taft LLP
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
O'Melveny & Myers LLP
On September 26, 2019, the Securities and Exchange Commission (SEC) announced that it adopted Rule 163B under the Securities Act of 1933
Ropes & Gray LLP
The private credit industry grew by leaps and bounds over the past decade: AUM jumped to $769 billion as of June 2018, from $275 billion in 2009.
Hogan Lovells
The SEC's Division of Corporation Finance recently announced changes to its process for responding to no-action requests that seek exclusion from proxy materials of shareholder
Proskauer Rose LLP
Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have ...
Cleary Gottlieb Steen & Hamilton LLP
On September 4, 2019, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert addressing the most common compliance issues it identified in examinations of ...
Cadwalader, Wickersham & Taft LLP
The SEC proposed rescinding certain exceptions under Regulation NMS concerning fee changes to a national market system plan.
Milbank LLP
Milbank LLP has achieved a significant victory before the United States Court of Appeals for the Ninth Circuit on behalf of Primero Mining Corp.
Mayer Brown
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
Sheppard Mullin Richter & Hampton
The Securities and Exchange Commission ("SEC") announced on September 26, 2019 that it voted to adopt the application of "testing-the-waters"
Orrick
On September 26, the Securities and Exchange Commission (SEC) announced three significant rulemakings. Summarized in a Public Statement by Chairman Jay Clayton, they are designed to achieve the following objectives.
Fenwick & West LLP
On September 26, 2019, the U.S. Securities and Exchange Commission (SEC) voted to adopt new Rule 163B under the Securities Act of 1933
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Torys LLP
The work of proxy advisory firms has been on the SEC's radar for several years. Extensive consultations with market participants and research into the role of proxy advisory firms
Stikeman Elliott LLP
Les Autorités canadiennes en valeurs mobilières (ACVM) souhaitent alléger l'obligation de déclarer une acquisition d'entreprise imposée aux émetteurs assujettis
Reed Smith
In Securities and Exchange Commission v. ICOBox et al,[1] the Securities and Exchange Commission ("SEC") alleges that defendant ICOBox and its founder
Primera Africa Legal
Nigeria's population of approximately 178 million citizens continues to rise and is expected to reach about 287 million by 2050.
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
STA Law Firm
The Indian economy has been marked by many critical structural initiatives which intend to build the strength and substantial growth over the past two decades.
Winston & Strawn LLP
We hope that commenters will make sure we get this balance right by letting us know what, if any, specific measures would be useful for investors.
Stikeman Elliott LLP
Les Autorités canadiennes en valeurs mobilières (ACVM) ont récemment publié des indications à l'intention des sociétés inscrites sur le moment où elles doivent retenir les services d'un consultant en conformité
Pryor Cashman LLP
On September 30, 2019, Block.one became the most recent startup to settle with the SEC over an initial coin offering ("ICO").
Kirkland & Ellis International LLP
The SEC's Division of Corporation Finance announced that, starting with the 2019-2020 proxy season, it may issue oral rather than written guidance for some requests to exclude Rule 14a-8 shareholder
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