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Searching Content indexed under Compliance by Shearman & Sterling LLP ordered by Published Date Descending.
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1
Southern District Of New York Dismisses Putative Class Action Against Building Materials Company For Failure To Adequately Allege Misstatements And Scienter
On July 12, 2019, Judge Valerie Caproni of the United States District Court for the Southern District of New York dismissed a putative securities class action brought against the building materials
United States
29 Jul 2019
2
Fifth Circuit Affirms Dismissal Of Class Action Against Pipeline Operator For Failure To Adequately Allege Misstatements Or Scienter
On July 16, 2019, the United States Court of Appeals for the Fifth Circuit affirmed a decision by the United States District Court for the Northern District of Texas that dismissed a putative class
United States
29 Jul 2019
3
Regulation Best Interest: First Analysis
This article discusses the Regulation Best Interest (Regulation BI) adopted by the U.S. Securities and Exchange Commission (the Commission or SEC) on June 5, 2019...
United States
26 Jul 2019
4
Market Abuse Regulation And Prospectus Regulation: European Parliament Resolution On SME Growth Market Reform
On 18 April 2019, the European Parliament resolved to adopt, with amendments, the European Commission's proposed Regulation to amend both MAR and the new Prospectus Regulation (PR)
European Union
26 Jul 2019
5
Sanctions Round Up: Second Quarter 2019
While this quarter saw no major developments in Russia sanctions programs, OFAC signaled its continued willingness to target Russian banks for assisting others evade US sanctions
Worldwide
25 Jul 2019
6
Companies With Effective Antitrust Compliance Programs Could Get Relief From Criminal Prosecution Under New DOJ Policy
The Antitrust Division of the U.S. Department of Justice (Division) finally will consider the existence of effective antitrust compliance programs at the charging stage of criminal antitrust
United States
23 Jul 2019
7
Hot Topics: Dodd-Frank Act Hedging Policy Disclosures Begin
Although final rules were published in December of 2018, July 1st marked the date that issuers (other than smaller reporting companies and emerging growth companies) must begin complying
United States
18 Jul 2019
8
FCPA Digest - Recent Trends And Patterns In The Enforcement Of The Foreign Corrupt Practices Act - July 2019
The first half of 2019 has been an exception, resulting in some of the highest penalty statistics of any half year of FCPA enforcement.
Worldwide
18 Jul 2019
9
SEC Adopts Interpretive Guidance On Investment Adviser Fiduciary Duty
On June 5, 2019, the Securities and Exchange Commission (the "SEC") released a long-anticipated interpretation of investment adviser fiduciary duty under Section 206 of the US Investment
United States
10 Jul 2019
10
Raising The Bar: SEC Adopts Broker-Dealer Standard Of Care And Guidance On Investment Advisers' Fiduciary Standard
On June 5, 2019, the U.S. Securities and Exchange Commission (the "SEC" or "Commission") culminated its multi-year consideration of commentary
United States
9 Jul 2019
11
Governance & Securities Law Focus: Asia Edition, June 2019
These communications would be exempt from the prohibition imposed by Section 5 of the Securities Act on making any written or oral offers prior to the filing of a registration statement with the SEC.
Worldwide
2 Jul 2019
12
Lanpher Interviewed On FCPA Compliance Report Podcast
Partner Mark Lanpher (Washington, D.C.-Litigation) was interviewed by the FCPA Compliance Report Podcast,
United States
27 Jun 2019
13
SEC Disclosure Simplification Continues
On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to simplify and modernize disclosure requirements of Regulation S-K and certain forms.
United States
8 Apr 2019
14
9 Data Considerations For Investment Management Attorneys
The volume and variety of data available today is growing at a staggering pace, and costs of data storage and processing continue to fall.
United States
20 Mar 2019
15
Second Circuit Affirms Dismissal Of Putative Securities Class Action, Holding That The Occurrence Of Regulatory Problems Do Not Render Materially Misleading Generic Positive Statements Regarding A Corporation's Compliance Efforts
On March 5, 2019, the United States Court of Appeals for the Second Circuit affirmed the dismissal of a putative securities class action against Cigna and several of its officers.
United States
20 Mar 2019
16
The ‘Wechat Effect': Understanding The Compliance Risks Of Mobile Messaging Apps
Instant messaging apps such as WeChat, WhatsApp and QQ are having a profound impact on the way people communicate around the world.
United States
11 Mar 2019
17
CFTC Considers Revamp Of SEF Regulatory Framework
Toward the end of 2018, the Commodity Futures Trading Commission (CFTC) proposed significant revisions to the framework governing swap trading through swap execution facilities (SEFs)
United States
12 Feb 2019
18
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
19
FRC Publishes Review Of Corporate Governance And Reporting 2017/2018
On 24 October 2018, the FRC published its annual review of corporate governance and reporting.
United States
31 Jan 2019
20
SEC's Office Of Compliance Inspections And Examinations Announces 2019 Examination Priorities
Reaching municipal advisors that have never been examined will continue to be a focus.
United States
18 Jan 2019
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