Searching Content indexed under Listing Rules & Flotation by Shearman & Sterling LLP ordered by Published Date Descending.
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UK Government Publishes Guidance On Proposals To Onshore Primary Markets Legislation For Brexit
On November 21, 2018, HM Treasury published explanatory guidance on a draft statutory instrument, the Official Listing of Securities, Prospectus and Transparency (Amendment) (EU Exit) Regulations 2019.
European Union
5 Dec 2018
SIFMA Issues Recommendations To Help More Companies Go And Stay Public
On 27 April 2018, the Securities Industry and Financial Markets Association (SIFMA) along with other organisations, notably the U.S. Chamber of Commerce and Nasdaq ...
United States
3 Aug 2018
SEC Considering Allowing All Companies To Use 'Testing The Waters'
The JumpStart Our Business Startups Act of 2012, commonly known as the JOBS Act, sought to make it easier for smaller companies to access the public capital markets by relaxing restrictions ...
United States
3 Aug 2018
Primary Market Bulletin No.19 Published By The FCA On Changes To The UKLA Knowledge Base
On 11 June 2018, the FCA published its 19th Primary Market Bulletin to consult on changes to the UKLA Knowledge Base.
27 Jul 2018
SEC's Proposed Rule 6C-11 Would Level The ETF Playing Field
The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) ...
United States
16 Jul 2018
New Premium Listing Option In London For Sovereign Controlled Companies
The client memorandum summarizes new rules issued by the U.K. regulator to create a new premium listing category for "sovereign controlled commercial companies" (SCCs).
9 Jul 2018
FRC Publishes Revised Guidance For Auditors When Agreeing To The Publication Of Preliminary Announcements
On 15 December 2017, the FRC published a bulletin entitled "The Auditor's Association with Preliminary Announcements made in accordance with U.K. Listing Rules."
28 Feb 2018
ESMA Issues Alerts To Firms And Investors On ICOs
ESMA published a statement alerting investors about the high risks of investment in ICOs, including the risk of total loss of their investment.
European Union
23 Feb 2018
SEC Chairman Warns Investors Of Risks Relating To Cryptocurrencies And Initial Coin Offerings (ICOs)
On 11 December 2017, SEC Chairman Jay Clayton released a statement on cryptocurrencies and ICOs as a warning to potential investors to beware of scams and criminal activity in the sector.
United States
20 Feb 2018
US Securities And Exchange Chairman Jay Clayton Raises Concerns About Virtual Currency Offerings
On November 8, 2017, US Securities and Exchange Chairman Jay Clayton raised concerns about virtual currency offerings or so-called initial coin offerings.
United States
19 Feb 2018
House Passes Two Bipartisan Bills To Facilitate Securities Offerings
On 1 November 2017, the U.S. House of Representatives passed two bills designed to promote capital formation by (i) providing for extended JOBS Act testing-the-waters provisions to all companies ...
United States
19 Feb 2018
FCA Publishes Consultation on a New Category of Premium Listing for Sovereign Controlled Companies
On 13 July 2017, the FCA published a consultation paper (CP17/21) on its proposal to amend the listing regime to include a new fourth category of premium listing available to companies...
15 Nov 2017
IPO Applications
Under the Proposals, the Listing Regulatory Committee (with equal representation from the SFC and the Exchange) will be established to decide on initial listing applications that have suitability concerns...
United States
1 Nov 2017
Listing Policy Panel
The LPP will be constituted by memorandum of understanding arrangements between the SFC and the Stock Exchange and will serve as a focal point for new policy proposals.
Hong Kong
31 Oct 2017
Joint Consultation Conclusions On Proposed Enhancements To The Stock Exchange's Decision-Making And Governance Structure For Listing Regulation
Following our article published in the July 2016 edition of the Governance & Securities Law Focus in connection with the joint consultation launched on 17 June 2016 by the "SFC" and....
Hong Kong
31 Oct 2017
UK Regulator Proposes Changes To UK Listing Rules
On February 14, 2017, the FCA published a consultation paper proposing amendments to the Listing Rules of the FCA's Handbook.
16 Mar 2017
New Saudi Qualified Foreign Investor Rules And IPO Book Building Instructions Approved
This year has witnessed remarkable legal developments in the capital markets landscape of the Kingdom of Saudi Arabia.
Saudi Arabia
26 Oct 2016
IPOs: AFME Guidance
On 4 July 2016, the Association for Financial Markets in Europe ("AFME") published guidance on research meetings and material prior to the award of a capital markets mandate.
European Union
25 Oct 2016
Governance & Securities Law Focus: Europe Edition, October 2016
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
European Union
24 Oct 2016
Nasdaq Golden Leash Disclosure Rule Approved By SEC
On July 1, 2016, the Securities and Exchange Commission (the "SEC") approved a change to the Listing Rules of NASDAQ Stock Market LLC.
United States
21 Jul 2016
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