Mondaq All Regions: Corporate/Commercial Law > Securities
WeirFoulds LLP
In 1085372 Ontario Limited v. Kulawick, 2019 ONSC 2344, the Honourable Justice Penny dismissed an action to set aside a transaction under s.
Osler, Hoskin & Harcourt LLP
On June 6, 2019, the Ontario Securities Commission (OSC) announced by way of Staff Notice [PDF] the adoption of a pre-filing review regime for mining issuers
Norton Rose Fulbright Canada LLP
In Re Mountainstar Gold Inc., 2019 BCSECCOM 123, the British Columbia Securities Commission gave short shrift to a request by the respondents...
Norton Rose Fulbright Canada LLP
In AMF v. TMF, Baazov, et al. (Court File No. 500-11-052989-171), the Quebec Superior Court confirmed that the Financial Markets Administrative Tribunal has the power to order the Autorité des marchés financiers, ...
Yigal Arnon & Co
Before regulators run to punish companies that have been hit by a burglary - who will try to cooperate.
Mayer Brown
This market trends article focuses on registered direct offerings, providing an overview of the market and covering recent notable transactions, deal structure and process, and legal and regulatory trends.
Mayer Brown
This market trends article identifies disclosures related to U.S. Tariff Policies that offer more detailed discussions on the actual and potential effects for the particular registrants and concludes with...
Shearman & Sterling LLP
On April 25, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed proposed amendments to FINRA Rule 5110.
Mayer Brown
Business development companies (BDCs) are closed-end investment management companies that are specially regulated by the Investment Company Act of 1940, as amended (the 1940 Act).
Cleary Gottlieb Steen & Hamilton LLP
On May 6, 2019, the Financial Industry Regulatory Authority issued Regulatory Notice 19-18, addressing members' anti-money laundering compliance programs.
Cleary Gottlieb Steen & Hamilton LLP
On April 3, 2019, staff of the Securities and Exchange Commission released (1) a framework providing principles for analyzing whether a digital asset constitutes an investment contract, and thus a security, ...
Cleary Gottlieb Steen & Hamilton LLP
In late March 2019, the Hertz Corporation and Hertz Global Holdings, Inc., filed two complaints against its former CEO, CFO, General Counsel and a group president seeking recovery of $70 million in incentive payments ...
Cadwalader, Wickersham & Taft LLP
The SEC adopted a rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers
Duff and Phelps
The SEC's interpretations under the Advisors Act will become effective upon publication in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC awarded $3 million to whistleblowers whose tip led to the launch of an SEC investigation and a subsequent successful enforcement action.
Orrick
The U.S. SEC adopted and clarified a number of rules intended to improve the relationships between retail investors, investor advisers and broker-investors, while also maintaining retail investors' access to...
Kutak Rock LLP
On June 4, 2019 the SEC filed a lawsuit in federal court in the Southern District of New York against the Canadian company, Kik Interactive Inc., alleging that Kik violated the U.S. Securities Act of 1933 in its 2017 $100 million ICO.
Cleary Gottlieb Steen & Hamilton LLP
However, the creation of the MMoU provided a broader, uniform framework for mutual assistance across jurisdictions.
Cleary Gottlieb Steen & Hamilton LLP
On Friday, the SEC proposed extensive amendments to the rules governing financial disclosures by registrants about businesses they buy or sell.
Arnold & Porter
A recent series of insider trading actions charging senior lawyers in legal departments of prominent public companies suggests that insider trading by lawyers may be on the rise.
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IndusLaw
The RBI, on September 1, 2018, released a user manual to clearly set out the procedure for filing a single master form, which it introduced on June 7, 2018, to integrate the existing reporting norms for foreign investment in India.
McCarthy Tétrault LLP
Late last week, the NYAG filed a law suit in the Supreme Court of the State of New York against Exxon alleging that Exxon violated, among other things, the securities fraud provisions of a 1921 New York statute...
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
BakerHostetler
As of this week, the World Bank and Commonwealth Bank have enabled secondary market trading recorded on the blockchain for bond-i ...
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.
Khaitan & Co
Based on the report of the Committee on Corporate Governance under the Chairmanship of Mr. Uday Kotak, SEBI notified the amendments to the SEBI LODR Regulations on 9 May 2018.
Jeffer Mangels Butler & Mitchell LLP
The SEC warns public companies that lax cybersecurity practices could violate rules governing internal accounting controls, and offer nine scams as cautionary tales.
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
Many have recently lamented the decline in the number of IPOs and public companies generally (about half the number since the boom in 1996), and numerous reasons have been offered in explanation, from regulatory burden to hedge-fund activism.
Cyril Amarchand Mangaldas
The Securities Exchange Board of India (SEBI) has recently circulated a consultation paper on Differential Voting Rights (DVRs).
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