Search Results (9346)
Documents on Securities
Show: results per page
|Insufficient Evidence Calls for Overturning Insider Trading Cases, Second Circuit Rules|
Robert L. Peabody; Jackson Lewis P.C.;
January 30, 2015, previously published on December 18, 2014Overturning the criminal convictions of former Diamondback Capital Management, LLC portfolio manager, Todd Newman, and former Level Global Investors, L.P. portfolio manager, Anthony Chiasson, for insider trading, the federal appeals court in New York has held the government "failed to present...
|Startups Continue to Wait on SEC's Equity Crowdfunding Regulations|
Beverly Evans; Davis, Brown, Koehn, Shors & Roberts, P.C.;
January 30, 2015, previously published on November 6, 2014On April 5, 2012, President Obama signed into law the Jumpstart our Business Startups (JOBS) Act. The Act provides for a new exemption from the SEC's requirement to register public offerings, possibly paving the way for startups to issue up to $1 million of securities to up to 2,000 public...
|US Regulation - SEC Sanctions Foreign Bank for Failure to Register|
Withers Bergman LLP;
January 20, 2015, previously published on December 9, 2014The US Securities and Exchange Commission (SEC) has issued a cease and desist order and has imposed remedial sanctions upon a foreign bank which failed to register as a broker-dealer or as an investment adviser.
|CRD IV - Remuneration|
Withers Bergman LLP;
January 20, 2015, previously published on December 9, 2014Mark Carney, Governor of the Bank of England, gave a speech to the Monetary Authority of Singapore targeting bankers¿ fixed pay as well to make bankers more personally accountable and to change their behaviour.
|Supreme Court Grants Leave to Appeal in Securities Class Actions|
Ranjan K. Agarwal, Jonathan G. Bell, Preet K. Bell, Michael A. Eizenga, Jeffrey S. Leon; Bennett Jones LLP;
January 20, 2015, previously published on August 7, 2014The Supreme Court of Canada announced today that it will hear appeals in a trilogy of Ontario securities class action cases: Green v. CIBC, Silver v. IMAX and Celestica v. Millwright Regional Council of Ontario Pension Trust Fund.
|Ontario Legislature Clarifies Securities Limitation Period|
Jonathan G. Bell, Jeffrey S. Leon; Bennett Jones LLP;
January 20, 2015, previously published on September 5, 2014Less than one month after the Supreme Court of Canada announced that it will hear appeals in a trilogy of Ontario securities class action cases that address how the three years limitation period under the Ontario Securities Act applicable to secondary market class actions should be applied, the...
|FCA Supervision - Thematic Reviews|
Withers Bergman LLP;
January 20, 2015, previously published on December 9, 2014The FCA has published the findings of its thematic review concerning complaint handling which identified four main barriers within firms that in the FCA’s view, prevents effective complaints handling under DISP:
|Restoring the Duty of Care Analysis to Negligence Claims in Third-Party Proceedings|
Codie L. Chisholm, Michael D. Mysak; Bennett Jones LLP;
January 19, 2015, previously published on May 5, 2014The Alberta Court of Appeal has provided some helpful guidance on the scope of third-party claims in O’Connor Associates Environmental Inc v MEC OP LLC, 2014 ABCA 140, narrowing the scope and application of the decision of Canadian Natural Resources Limited v ArcelorMittal Tubular Products...
|California Court of Appeal Applies Delaware Law to Deny Discovery in Shareholder Derivative Action|
Madalyn Macarr, John P. Stigi; Sheppard, Mullin, Richter & Hampton LLP;
January 16, 2015, previously published on December 23, 2014In Jones v. Martinez, 230 Cal. App. 4th 1248 (2014), the California Court of Appeal, Second Division, held that a plaintiff asserting a shareholder derivative action against directors of a Delaware corporation in a California state court may not obtain discovery before the plaintiff establishes...
|FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process|
Manuel F. Gomez, Jeff Kern; Sheppard, Mullin, Richter & Hampton LLP;
January 16, 2015, previously published on November 12, 2014In Regulatory Notice 14-40, FINRA reminds members that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to incorporate into a settlement agreement a confidentiality provision restricting or prohibiting a customer or other person from communicating with...