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HTMLTSX Adopts Extension Amendments Regarding Security-Based Compensation Arrangements and Backdoor Listings
Russel W. Drew, Christian P. Gauthier, John D. MacNeil, William S. Osler; Bennett Jones LLP;
Legal Alert/Article
October 28, 2014, previously published on October 14, 2014
Before the amendments, listed issuers were permitted to directly assume the security-based compensation arrangements of a target company or replace the security-based compensation of the target company with the security-based compensation arrangements of the listed issuer without obtaining security...

 

HTMLBig Data and Its Implications for Corporate Decision-Making
Benjamin R. Dryden, Howard W. Fogt, M. Leeann Habte, Chanley T. Howell, James R. Kalyvas; Foley & Lardner LLP;
Legal Alert/Article
October 28, 2014, previously published on October 3, 2014
In 2004, the total amount of data stored on the entire Internet was roughly equivalent to 100 years of all television content. By 2011, the amount of data stored electronically was equivalent to 36 million years of high-def (HD) video, and the numbers continue to increase exponentially. With all of...

 

HTMLUS SEC Brings First Enforcement Action For Market Manipulation Through High-Frequency Trading
J. Gregory Deis, Kathleen M. Przywara, Jerome J. Roche, Matthew A. Rossi; Mayer Brown LLP;
Legal Alert/Article
October 28, 2014, previously published on October 23, 2014
Providing another reminder of the US federal government’s ongoing scrutiny of high-frequency trading (“HFT”) firms and manipulative trading practices involving HFT, the Securities and Exchange Commission recently settled its first market-manipulation case against a HFT firm under...

 

HTMLItaly’s New Rules for Listed Small and Mid Caps and Other Changes Relevant to Listed Issuers
Stefano Crosio, Sara Rizzon; Jones Day;
Legal Alert/Article
October 27, 2014, previously published on October 2014
The Italian Council of Ministers enacted Law Decree No. 91 of June 24, 2014 (the “Law Decree”), which introduced new measures aimed at ensuring the country’s future sustainability and growth. As part of such new measures, the Law Decree introduced significant changes to certain...

 

HTMLEU Disclosure Requirements for Structured Finance Instruments
John Ahern, Neil J. Hamilton, Ulf Kreppel, Drew Salvest, Michelle Taylor; Jones Day;
Legal Alert/Article
October 23, 2014, previously published on October 2014
The European Commission has adopted a final regulation that sets out wide-ranging disclosure requirements for structured finance instruments ("SFIs") in circumstances where the issuer, originator or sponsor is established in the European Union ("EU").

 

HTMLRules Requiring Disclosure of Participation of Women on Boards and in Senior Management coming into force December 31, 2014
Myreille Gilbert, Jonathan R. Grant, Wendi A. Locke, Genevieve Pinto, Sonia J. Struthers; McCarthy Tétrault LLP;
Legal Alert/Article
October 22, 2014, previously published on October 16, 2014
The Canadian Securities Administrators (CSA) published October 15, 2014 in final form amendments to the governance disclosure rules contained in National Instrument 58-101 - Disclosure of Corporate Governance Practices (Amendments) that will require public companies which are reporting issuers in...

 

HTMLEarly-Warning Threshold to Remain at 10%
Jason M. Saltzman, Pascal de Guise; Borden Ladner Gervais LLP;
Legal Alert/Article
October 21, 2014, previously published on October 10, 2014
The Canadian Securities Administrators (“CSA”) today published CSA Notice 62-307. It provides an update to proposed amendments (the “Proposed Amendments”) to early-warning reporting published for comment on March 13, 2013.

 

HTMLImplications of the SEC Investor Advisory Committee’s Take on the “Accredited Investor” Definition
Sutherland Asbill Brennan LLP;
Legal Alert/Article
October 16, 2014, previously published on October 10, 2014
Yesterday, the SEC’s Investor Advisory Committee (IAC), an advisory panel established by the SEC in 2009 to represent investor interests, approved a recommendation to change the definition of “accredited investor” in Reg. D under the Securities Act. While the IAC’s...

 

HTMLWithholding Tax Exemption on Bond Interest Broadened
Jones Day;
Legal Alert/Article
October 16, 2014, previously published on October 2014
Law Decree No. 91 of June 24, 2014, converted into law by the Italian Parliament on August 7, 2014, has broadened the scope of the withholding tax exemption applicable to eligible nonresident investors (i.e., investors resident in a white-listed country and with no permanent establishment in Italy)...

 

HTMLMassachusetts Treasurer Demands National Mutual Fund Records in Multistate Unclaimed Property Audit
Sutherland Asbill Brennan LLP;
Legal Alert/Article
October 14, 2014, previously published on October 8, 2014
Late this summer, the Massachusetts Treasurer demanded mutual fund records on a nationwide basis as part of a multistate unclaimed property audit. Thirty-five (35) states are involved in the audit, but the Treasurer has sought records pertaining to all fifty (50) states.

 


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