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Australia
Jones Day
The Situation: Australia's corporate regulator, the Australian Securities and Investments Commission ("ASIC") brought proceedings against two former directors of Tennis Australia...
Brazil
Cadwalader, Wickersham & Taft LLP
Two Brazilian nationals and their companies, a global meat producer and its parent company, settled SEC and DOJ charges of violations under the Foreign Corrupt Practices Act.
British Virgin Islands
Conyers
One of the key roles of BVI vehicles in international finance transactions is the provision of security (either BVI entities granting security over their own assets or security being granted over...
Canada
Stikeman Elliott LLP
Amendments to OSC Rule 48-501 would remove prohibitions considered duplicative in light of existing restrictions in the Universal Market Integrity Rules (UMIR).
Norton Rose Fulbright Canada LLP
In a previous post, we discussed the new standard of appellate review of tribunal decisions described in Canada (Minister of Citizenship and Immigration) v. Vavilov, ...
Osler, Hoskin & Harcourt LLP
Recent actions filed in early October 2020 by the U.S. Department of Justice (the "DOJ") and the Commodity Futures Trading Commission (the "CFTC") against BitMEX
Borden Ladner Gervais LLP
Our second session provided an overview of the regulatory environment and what we're seeing from an international markets perspective.
Gowling WLG
On October 26, 2020, Kraken Robotics Inc. (TSXV: PNG) (OTCQB: KRKNF) announced that it had closed its previously announced "bought deal" short form prospectus offering of common shares of...
Osler, Hoskin & Harcourt LLP
In a recent decision, Quadrexx Hedge Capital Management Ltd v Ontario Securities Commission (the "Quadrexx Appeal"), the Ontario Divisional Court applied a re-articulated "standard of review" ...
India
HSA Advocates
Continuing with Government of India's recent spate of reforms meant to bolster economic activity and investment in the country, the Companies Amendment Bill, 2020...
ZBA
Whos is the author?
UK
Withers LLP
As the financial industry continues through its on-going process of consolidation and restructuring in response to competitive, regulatory and technology developments, many successful bankers...
Jones Day
he FCA appears to be adopting an increasingly innovative and practical approach to enforcement against UK issuers that breach securities laws.
Walker Morris
The Financial Times recently reported that UK business faces a potential debt burden of up to £105 billion with small and medium sized companies under most pressure.
United States
Cadwalader, Wickersham & Taft LLP
The amendments will go into effect on December 28, 2020, but an additional period will be allowed for issuers and broker-dealers to come into compliance with Rule 15c2-11's new requirements.
Cadwalader, Wickersham & Taft LLP
The rules disqualify entities from certain registration exemptions for security offerings if it is determined that, among other things, they have been the subject of certain CFTC enforcement actions.
Cadwalader, Wickersham & Taft LLP
CFTC Chair Heath P. Tarbert directed staff on the use of (i) no-action letters, (ii) interpretive letters, (iii) staff guidance, advisories and FAQs, and (iv) exemptive letters.
WilmerHale
While the global pandemic may have disrupted many industries, it has not stopped plaintiffs from continuing to file COVID-19-related securities fraud class actions under Section 10(b) ...
Mayer Brown
Today, the Securities and Exchange Commission adopted final rules relating to the use of derivatives by registered investment companies and business development companies.
Kramer Levin Naftalis & Frankel LLP
On Oct. 28, 2020, the Securities and Exchange Commission (SEC) voted to adopt a new rule (Rule 18f-4) and other related amendments, significantly altering the regulatory framework for derivatives...
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