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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.
19 Feb 2019
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
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
Governance & Securities Law Focus: Europe Edition - January 2019
Below is a summary of the main developments in US and EU corporate governance and securities law and certain financial markets regulation developments since
28 Jan 2019
Trump Administration Targets Russian Hackers And Other Malign Actors
On December 19, OFAC and the State Department announced concerted action against Russian malign cyberactors for their alleged role in various disruptive hacking schemes throughout the world.
Russian Federation
28 Jan 2019
California District Court Dismisses Exchange Act Claims Based On The PSLRA Safe Harbor For Forward Looking Statements
On December 13, 2018, Judge Manuel L. Real of the United States District Court for the Central District of California granted defendants' motion to dismiss plaintiffs' first amended complaint asserting claims for violations of ...
United States
25 Jan 2019
UK Financial Conduct Authority Reports On Cyber Security Resilience In Financial Services
On November 27, 2018, the FCA published a report entitled "Cyber and Technology Resilience: Themes from cross-sector survey 2017-2018."
28 Dec 2018
Eastern District Of Pennsylvania Denies In Part And Grants In Part Motion To Dismiss Stock Drop Suit, Finding Plaintiffs Adequately Pled Global Pharmaceutical Company Misrepresented The Safety Of Its Opioid
On December 10, 2018, Judge Timothy J. Savage of the United States District Court for the Eastern District of Pennsylvania denied in large part defendants' motion to dismiss a putative class action asserting violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 (the "Exchange Act") and Sections 11 and 20 of the Securities Act of 1933 (the "Securities Act").
United States
20 Dec 2018
Executive To Pay Civil Penalties For Not Reporting Compensation Share Acquisition Under HSR Act
A senior executive of a public company has agreed to pay $609,810 in civil penalties for acquiring additional voting securities in the company ...
United States
12 Dec 2018
Financial Stability Board Publishes Cyber Lexicon
On November 12, 2018, the FSB published the final Cyber Lexicon of terms related to cyber security and cyber resilience.
United States
30 Nov 2018
Financial Regulatory Developments Focus - Issue 46, November 26, 2018
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and corporates.
United States
28 Nov 2018
EU Supervisory Authority Reports On ICO And Crypto-Asset Risks And Potential Regulation
On October 19, 2018, ESMA published an own-initiative report prepared by its Securities and Markets Stakeholder Group.
12 Nov 2018
Can A Cyber Breach Be A Violation Of Internal Controls? The Sec Says, ‘Maybe'
On October 16, 2018, the Securities and Exchange Commission (SEC) issued a report outlining an investigation conducted by the SEC's Division of Enforcement related to the internal accounting controls
United States
6 Nov 2018
Cybersecurity – Board Oversight
Cybersecurity remains a key focus for boards of public companies.
United States
27 Sep 2018
UK Payment Systems Regulator Reports On The UK Contactless Mobile Payment Sector
On July 31, 2018, the U.K. Payment Systems Regulator published a Report setting out its understanding of the Contactless Mobile Payments sector, following information-gathering during 2016 and 2017.
23 Aug 2018
New CFIUS Law Moves To Protect Emerging Technologies And Personal Information, Takes Aim At Chinese Investment
On August 13, 2018, President Trump signed into law legislation that will sharpen the rules governing U.S. national security reviews by the Committee on Foreign Investment in the United States (CFIUS).
United States
20 Aug 2018
Senior SEC Official Clarifies Whether And When Digital Assets Are Securities
When assessing whether a digital asset is a security, the key question to ask is whether a third party is driving the expectation of a return, says a senior Securities and Exchange Commission (SEC) official.
United States
20 Jul 2018
Financial Stability Board Issues Consultation On Developing A Cyber Lexicon
On July 2, 2018, as part of its work on the protection of financial stability against the malicious use of information and communication technologies ...
United States
19 Jul 2018
Governance & Securities Law Focus – May 2018
On February 21, 2018, the Securities and Exchange Commissionreleased new interpretive guidance on public company disclosures regarding cybersecurity risks and incidents.
United States
31 May 2018
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