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HTMLThe Status Quo Must Change — Canadian Securities Administrators Embark on their Most Ambitious Registrant Regulation Consultation to Date
Jason J. Brooks, Rebecca A. Cowdery, Jonathan L. Doll, Laura Paglia, Prema K.R. Thiele; Borden Ladner Gervais LLP;
Legal Alert/Article
May 20, 2016, previously published on May 5, 2016
With the release of Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients on April 28, 2016, the Canadian Securities Administrators have embarked on a consultation regarding proposed regulatory changes that would touch virtually...

 

HTMLFTC Reviews Security Updates Practices of Eight Mobile Device Manufacturers
Sutherland Asbill Brennan LLP;
Legal Alert/Article
May 17, 2016, previously published on May 16, 2016
The Federal Trade Commission is requiring eight mobile device manufacturers to provide the FTC with information about how they determine to issue security updates to address vulnerabilities in smartphones, tablets, and other mobile devices. The FTC plans to use these filings to study policies,...

 

HTMLBest Buy: First Appellate Decision Interpreting and Applying Halliburton II Rejects Class Certification Based Upon the Absence of “Front-End” Price Impact.
Daniel J. Tyukody; Greenberg Traurig, LLP;
Legal Alert/Article
May 10, 2016, previously published on April 15, 2016
On April 12, 2016, the Eighth Circuit Court of Appeals in IBEW Local 98 Pension Fund v. Best Buy Co., Inc., et al., CV No. 14-3178, became the first appellate court to interpret and apply the Supreme Court’s decision in Halliburton Co. v. Erica P. John Fund, Inc., 134 S. Ct. 2398...

 

HTMLSEC Chair White Throws Support Behind FSOC Statement on Review of Asset Management Products and Activities
Sutherland Asbill Brennan LLP;
Legal Alert/Article
May 3, 2016, previously published on April 29, 2016
In a public statement earlier this month, SEC Chair Mary Jo White expressed her support for the Financial Stability Oversight Council’s (“FSOC”) Update Statement on its review of asset management products and activities for potential financial stability risks. The Update Statement...

 

HTMLOntario Securities Commission Amends Take-Over Bid Regime
Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith, Timothy J. McCunn; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
Legal Alert/Article
April 27, 2016, previously published on April 1, 2016
The Ontario Securities Commission (OSC) has announced it intends to adopt National Instrument 62-104 Take-Over Bids and Issuer Bids (NI-62-104) on May 9, 2016. Currently, the regime governing take-over bids and early warning reporting is harmonized throughout all jurisdictions of Canada, except...

 

HTMLThe Dutch Act on Collective Settlement of Mass Claims (WCAM) Goes Global Again: A Forum Outside the United States to Resolve Mass Claims Disputes Internationally
Marie-José van der Heijden; Greenberg Traurig, LLP;
Legal Alert/Article
April 14, 2016, previously published on March 29, 2016
On March 14, 2016, Ageas (formerly, Fortis Bank) and several foundations representing the Fortis shareholders announced a EUR 1.204 billion settlement of shareholder claims and they are now seeking to declare the settlement legally binding on all shareholders under the 2005 Dutch Act on Collective...

 

HTMLHistoric FCPA Settlement Reflects Increased Regulatory Focus on International Anticorruption Issues Arising from M&A Transactions
Ryan J. Correia, Diana J. Nehro; Ogletree, Deakins, Nash, Smoak & Stewart, P.C.;
Legal Alert/Article
April 13, 2016, previously published on March 28, 2016
Most employers already know that violating the Foreign Corrupt Practices Act of 1977 (FCPA) has serious consequences, including significant fines. Those potential fines just got even heavier. On February 18, 2016, the U.S. Securities and Exchange Commission (SEC) agreed to a $795 million global...

 

HTMLIndividuals in the Cross Hairs? What This Means for Directors
John T. Sullivan, David Ronald Woodcock; Jones Day;
Legal Alert/Article
April 5, 2016, previously published on March 2016
Following the 2008 financial crisis, government regulators and prosecutors have been under tremendous public pressure to prosecute individuals.[1]Senior government officials have responded by speaking forcefully about their desires to sue or prosecute more individuals.[2] What does the government's...

 

HTMLU.S. Senators Introduce Legislation to Tighten Schedule 13D Reporting Requirements and Increase Oversight of Activist Hedge Funds
Sutherland Asbill Brennan LLP;
Legal Alert/Article
April 4, 2016, previously published on April 1, 2016
Two U.S. Senators recently introduced legislation that would result in significant changes to Schedule 13D reporting requirements. According to the press release announcing the introduction of the legislation, the proposed changes are designed to enhance transparency, protect companies from...

 

HTMLFINRA Arbitration and Emerging Trends
Cole Scott Kissane P.A.;
Legal Alert/Article
March 30, 2016, previously published on February 25, 2016
FINRA arbitration, the mandatory dispute resolution forum for brokerage firms, is experiencing an all-time low in new case filings. Positive market conditions have influenced the number of new customer claims filed against registered representatives and FINRA member firms. Generally, case filings...

 


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