Searching Content indexed under Securities by Hogan Lovells ordered by Published Date Descending.
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FIG Bulletin, 4 October 2019
The Bank of England (BoE) has published the high level findings of the financial sector cyber simulation exercise that took place on 9 November 2018 (SIMEX 18).
15 Oct 2019
SEC Staff Announces Changes To Processing Of Shareholder Proposal No-Action Requests
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
United States
14 Oct 2019
Five Observations On Recent Use Of Universal Proxies
On September 5, 2019, the SEC's Investor Advisory Committee (IAC) approved a recommendation that the SEC adopt its proposed universal proxy rule with modest changes to address objections that have
United States
3 Oct 2019
FIG Bulletin, 13 September 2019
We are delighted to send you our latest e-newsletter, setting out recent regulatory developments of interest to financial institutions
European Union
23 Sep 2019
FIG Bulletin, 6 September 2019
The Financial Conduct Authority (FCA) has updated its webpage on guidance consultation 19/3 (GC19/3), which seeks views on proposed guidance for firms on the fair treatment of vulnerable
10 Sep 2019
Third Point To Pay Monetary Penalty To Settle Allegations Of HSR Act Violations
On 28 August 2019 investment advisor Third Point LLC (Third Point) and three funds under its control – Third Point Partners Qualified L.P., Third Point Ultra, Ltd., and Third Point Offshore Fund Ltd. –
United States
6 Sep 2019
SEC Proposes To Amend Requirements For Disclosure On Business, Legal Proceedings And Risk Factors
On August 8, the SEC proposed amendments to Regulation S-K to modernize required disclosures on business, legal proceedings and risk factors in Exchange Act and Securitie
United States
28 Aug 2019
Equity Capital Markets - Which Market?
The UK has always been a popular destination for UK and overseas companies who are looking to raise finance on a public securities market
27 Aug 2019
FIG Bulletin, 16 August 2019
The Financial Conduct Authority (FCA) has published the protocols for the conduct of the "lessons learned" reviews, commissioned by the non-executive directors of the FCA, for:
22 Aug 2019
FIG Bulletin, 9 August 2019
The FCA has published the findings of a review into how successfully the SMCR is embedded into the banking sector.
14 Aug 2019
FIG Bulletin, 26 July 2019
Fair pricing in financial services: FCA FS19/4 - summary of responses and next steps.
31 Jul 2019
FIG Bulletin, 19 July 2019
The FCA has published a speech by Andrew Bailey, Chief Executive of the FCA, given at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York
25 Jul 2019
Fig Bulletin, 12 July 2019
The UK Financial Conduct Authority (FCA) has published an update relating to the extension of the senior managers and certification regime (SMCR) to FCA solo-regulated firms
22 Jul 2019
The Pacte Act: Changes Impacting French Financial Law
Heralded as a "new step in France's economic transformation", the recently adopted Pacte Act aims to liberate companies from the burden of certain obligations and ensure they are better funded,
European Union
12 Jul 2019
Funds Talk: July 2019
In the Chancellorʼs 2019 Mansion House dinner speech, delivered on 20 June 2019, Philip Hammond announced a review of the UK regulatory framework and payments landscape in 2019.
European Union
10 Jul 2019
FIG Bulletin, 21 June 2019
On 12 June 2019, the Financial Conduct Authority (FCA) published a final report on its investigation in to RBS treatment of small and medium-sized enterprise (SME) customers transferred to its GRG.
27 Jun 2019
The Southern District Of New York Expresses Concern With Government's "Outsourcing" Of Corporate Internal Investigations
In a recent decision that could have critical implications for corporate internal investigations conducted pursuant to a government agency's request, the Southern District of New York expressed concern...
United States
23 May 2019
Supreme Court Expands Liability For False Statements Under The Federal Securities Laws
On March 27, the Supreme Court issued its much-anticipated decision addressing whether someone who is not the "maker" of a misstatement can nonetheless be primarily liable for fraud.
United States
30 Apr 2019
FIG Bulletin, 5 April 2019
We are delighted to send you our latest e-newsletter, setting out developments from 25 March to 5 April 2019.
29 Apr 2019
FIG Bulletin, 8 March 2019
We are delighted to send you our latest e-newsletter, setting out developments from 4th to 8th March 2019.
16 Apr 2019
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