Search Results (9123)
Documents on Securities
Show: results per page
|Canadian Public Company Disclosure Deficiency Rate Nearly Doubled in 2014|
Cristian O. Blidariu, Michael C. Nicholas, Sean D. Sadler, Rene R. Sorell; McCarthy Tétrault LLP;
August 20, 2014, previously published on August 11, 2014The Canadian Securities Administrators (CSA) recently released CSA Staff Notice 51-341 setting out the results of their Continuous Disclosure Review Program for fiscal 2014.
|The Challenge with Determining When the Writing Is On the Wall: Insider Trading Case Considers Materiality of Confidentiality Agreement and Expired Unsolicited Offer|
Shane C. D'Souza, Rene R. Sorell; McCarthy Tétrault LLP;
August 20, 2014, previously published on August 14, 2014The British Columbia Securities Commission (BCSC) recently considered whether a consultant for a law firm had committed insider trading and breached the public interest when she traded a client’s shares with knowledge of undisclosed facts.
|Sino-Forest CFO's Settlement Agreement Highlights Standards of Executive Responsibility|
Shazia Banduk, Jonathan Feldman, Neill May; Goodmans LLP - Toronto;
August 19, 2014, previously published on August 8, 2014The settlement agreement recently entered into between Staff of the OSC and David Horsley, former CFO of Sino-Forest Corporation, provides meaningful guidance on the responsibilities of senior executives, particularly those serving for issuers with overseas business operations.
|CSA Announces Results of Continuous Disclosure Review for Fiscal 2014|
Jacques Du Plessis, Steven Robertson; Goodmans LLP - Vancouver;
August 19, 2014, previously published on August 11, 2014The Canadian Securities Administrators (CSA) recently published the results of their annual Continuous Disclosure Review Program for the fiscal year ended March 31, 2014. The CSA completed 770 issue-oriented reviews and 221 full reviews, as a result of which 76% of the reporting issuers reviewed...
|The D.C. Circuit’s en banc opinion in American Meat Institute and the Conflict Minerals Rule|
Daniel J. Thompson; Husch Blackwell LLP;
August 18, 2014, previously published on August 13, 2014On July 29th, in American Meat Institute v. U.S. Department of Agriculture, the U.S. Court of Appeals for the D.C. Circuit, sitting en banc, held that country-of-origin labeling of meat products is not unconstitutionally compelled speech in violation of the First Amendment. This outcome increases...
|New Regulation for Private Offerings of Securities|
Cristián Eyzaguirre, Francisco Ugarte, Salvador Valdés; Carey;
August 14, 2014On June 27, 2012, the Chilean Securities and Exchange Commission (the "SVS") issued General Rule No. 336, which regulates in general terms, for the first time, in which cases a securities offering shall not be considered a "public offering" and shall therefore be excluded from...
|The Curious Case of LabMD: New Developments In The “Other” FTC Data-Security Case|
Lei Shen, Evan M. Wooten; Mayer Brown LLP;
August 13, 2014, previously published on August 11, 2014By now, businesses with an interest in data security are aware of FTC v. Wyndham Worldwide Corp., in which a US District Court of New Jersey held that the Federal Trade Commission (FTC) can bring enforcement actions for perceived data-security violations without first issuing guidance or standards....
|Second Circuit Draws a Bright-line Rule to Determine Who Is a Customer Under Rule 12200|
Carlos Enrique Provencio; Wilson Elser Moskowitz Edelman & Dicker LLP;
August 13, 2014, previously published on August 7, 2014The decision in Citigroup Global Markets Inc. v. Abbar, Docket No. 13-2172 (August 1, 2014), by the U.S. Court of Appeals for the Second Circuit, has important implications for broker-dealers, particularly those dealing with product-related as opposed to suitability-related arbitrations. FINRA...
|SEC Brings First Whistleblower Anti-Retaliation Enforcement Action|
Margaret Hutchins Campbell, Jesse C. Ferrantella; Ogletree, Deakins, Nash, Smoak & Stewart, P.C.;
August 12, 2014, previously published on August 7, 2014On June 16, 2014, the U.S. Securities and Exchange Commission (SEC) resolved its first whistleblower retaliation enforcement action. The SEC’s order against Paradigm Capital Management, Inc. is the first-ever enforcement action brought by the agency under the anti-retaliation provisions of...
|SEC Waives Whistleblower Eligibility Requirements to Issue $400,000 Award|
Peter J. Anderson, Eric A. Arnold, Keith J. Barnett, Bruce M. Bettigole, Thomas R. Bundy; Sutherland Asbill & Brennan LLP;
August 12, 2014, previously published on August 7, 2014On July 31, the U.S. Securities and Exchange Commission (SEC or Commission) issued a $400,000 whistleblower award to an individual who provided information leading to a successful SEC enforcement action. The SEC’s whistleblower program was created by the 2010 Dodd-Frank Wall Street Reform and...