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|TSX 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;
October 28, 2014, previously published on October 14, 2014Before 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...
|Big 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;
October 28, 2014, previously published on October 3, 2014In 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...
|US 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;
October 28, 2014, previously published on October 23, 2014Providing 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...
|Italy’s New Rules for Listed Small and Mid Caps and Other Changes Relevant to Listed Issuers|
Stefano Crosio, Sara Rizzon; Jones Day;
October 27, 2014, previously published on October 2014The 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...
|EU Disclosure Requirements for Structured Finance Instruments|
John Ahern, Neil J. Hamilton, Ulf Kreppel, Drew Salvest, Michelle Taylor; Jones Day;
October 23, 2014, previously published on October 2014The 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").
|Rules 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;
October 22, 2014, previously published on October 16, 2014The 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...
|Early-Warning Threshold to Remain at 10%|
Jason M. Saltzman, Pascal de Guise; Borden Ladner Gervais LLP;
October 21, 2014, previously published on October 10, 2014The 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.
|Implications of the SEC Investor Advisory Committee’s Take on the “Accredited Investor” Definition|
Sutherland Asbill Brennan LLP;
October 16, 2014, previously published on October 10, 2014Yesterday, 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...
|Withholding Tax Exemption on Bond Interest Broadened|
October 16, 2014, previously published on October 2014Law 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)...
|Massachusetts Treasurer Demands National Mutual Fund Records in Multistate Unclaimed Property Audit|
Sutherland Asbill Brennan LLP;
October 14, 2014, previously published on October 8, 2014Late 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.