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1
Governance & Securities Law Focus: Asia Edition, February 2019
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
Worldwide
19 Feb 2019
2
New Jersey District Court Dismisses Putative Securities Fraud Class Action For Failure To Plead Scienter
On January 31, 2019, Judge Madeline Cox Arleo of the United States District Court for the District of New Jersey granted with leave to amend defendants' motion to dismiss a putative securities fraud
United States
15 Feb 2019
3
SFC Sets Out New Regulatory Approach For Virtual Assets
On 1 November, 2018, the Securities and Futures Commission of Hong Kong (SFC) issued a statement (the "Statement"), which sets out a new approach aiming to regulate virtual asset portfolio managers ...
Hong Kong
8 Feb 2019
4
Borsa Italiana Amends Rules Of The Market And The Related Instructions To Include New Central Counterparties Operating On MTA And ETF Plus Markets
Borsa Italiana S.p.A., the managing company of the Italian stock exchange ("Borsa Italiana"), amended its Rules of the Market and the related Instructions ...
Italy
8 Feb 2019
5
Consob Increases Threshold For Offerings Exempt From The Obligation To Publish A Prospectus To €8 Million
On 9 November 2018, the Italian Securities and Exchange Commission (Commissione Nazionale per le Società e la Borsa, "CONSOB") ...
United States
8 Feb 2019
6
Aveo CFO Found Liable For Securities Fraud For Failing To Tell Investors About Regulatory Developments
In a closely-watched trial, the former CFO of Aveo Pharmaceuticals has been found liable for federal securities fraud.
United States
8 Feb 2019
7
Snap Securities Class Action Leads To Government Subpoenas
While an investigation by the SEC or the DOJ often can lead to private securities litigation, sometimes it happens the other way around.
United States
7 Feb 2019
8
SEC Enforcement Releases Its Annual Report
On 2 November 2018, the Division of Enforcement of the SEC released its annual report setting forth enforcement-related statistics and its key initiatives.
United States
7 Feb 2019
9
The US Supreme Court Will Analyse Mental State Standard For Claims Alleging Misstatements In Connection With Tender Offers
On 4 January 2019, the U.S. Supreme Court agreed to consider whether negligence or scienter is the appropriate mental state standard for misstatements or omissions ...
United States
7 Feb 2019
10
US Supreme Court Considers Relationship Between Scheme Liability And False Statement Liability Under Federal Securities Laws
On 3 December 2018, the U.S. Supreme Court heard argument in Lorenzo v. SEC. The case is an appeal of the D.C. Circuit's ruling that a person who does not make the alleged false statement ...
United States
7 Feb 2019
11
US Department Of Justice Changes Policy On Corporate Cooperation
The DOJ recently made a significant change to its policy regarding corporate cooperation. Since 2015, that policy has been governed by a memo ...
United States
7 Feb 2019
12
Shearman Publishes Recent Developments And Trends For The Preparation Of Form 20-F
On 11 January 2019, Shearman & Sterling published its annual Recent Developments And Trends For The Preparation Of Form 20-F,
United States
6 Feb 2019
13
Reduced SEC Operations During Federal Government Shutdown
On 27 December 2018, the SEC began reduced operations as a result of the federal government shutdown.
United States
6 Feb 2019
14
SEC Goes After Company For Presenting Non-GAAP Financial Measures Without Giving Equal Prominence To GAAP Measures
On 26 December 2018, the SEC issued a cease and desist order and imposed a $100,000 civil penalty on a company for including financial measures that do not conform to U.S. GAAP
United States
6 Feb 2019
15
Risk Disclosure—SEC Areas Of Focus In 2019
In a recent speech, SEC Chairman Jay Clayton emphasized three areas of risk disclosure that the SEC will monitor in the upcoming filing season: (1) Brexit, (2) the transition away from LIBOR
United States
6 Feb 2019
16
Amendments To Nasdaq Shareholder Approval Rule For Private Placements
On 26 September 2018, the SEC approved amendments to Nasdaq Rule 5635(d), also known as the "20% Rule," which required shareholder approval prior to the issuance in a private placement of 20%
United States
6 Feb 2019
17
SEC Overhauls Disclosure Requirements For Mining Companies - January 23, 2019
In October 2018, the SEC adopted new disclosure rules for companies with material mining operations, which will replace the existing Industry Guide 7.
United States
5 Feb 2019
18
SEC Report Urges Public Companies To Consider Cyber Threats In Internal Accounting Controls
On 16 October 2018, the U.S. Securities and Exchange Commission (SEC) issued a report on an investigation conducted by the SEC's Division of Enforcement ...
United States
5 Feb 2019
19
NEX Exchange Publishes Growth Market Rules For Consultation
On 20 December 2018, NEX Exchange published for consultation proposed amendments to the NEX Exchange Growth Market Rules (the "Rules") ...
UK
5 Feb 2019
20
FCA Publishes Latest Review On MAR Implementation
On 17 December 2018, the FCA published issue 58 of its Market Watch newsletter. This edition focused on the industry-wide review of the implementation ...
European Union
5 Feb 2019
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