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HTMLInsufficient Evidence Calls for Overturning Insider Trading Cases, Second Circuit Rules
Robert L. Peabody; Jackson Lewis P.C.;
Legal Alert/Article
January 30, 2015, previously published on December 18, 2014
Overturning 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...

 

HTMLStartups Continue to Wait on SEC's Equity Crowdfunding Regulations
Beverly Evans; Davis, Brown, Koehn, Shors & Roberts, P.C.;
Legal Alert/Article
January 30, 2015, previously published on November 6, 2014
On 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...

 

HTMLUS Regulation - SEC Sanctions Foreign Bank for Failure to Register
Withers Bergman LLP;
Legal Alert/Article
January 20, 2015, previously published on December 9, 2014
The 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.

 

HTMLCRD IV - Remuneration
Withers Bergman LLP;
Legal Alert/Article
January 20, 2015, previously published on December 9, 2014
Mark 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.

 

HTMLSupreme 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;
Legal Alert/Article
January 20, 2015, previously published on August 7, 2014
The 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.

 

HTMLOntario Legislature Clarifies Securities Limitation Period
Jonathan G. Bell, Jeffrey S. Leon; Bennett Jones LLP;
Legal Alert/Article
January 20, 2015, previously published on September 5, 2014
Less 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...

 

HTMLFCA Supervision - Thematic Reviews
Withers Bergman LLP;
Legal Alert/Article
January 20, 2015, previously published on December 9, 2014
The 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:

 

HTMLRestoring the Duty of Care Analysis to Negligence Claims in Third-Party Proceedings
Codie L. Chisholm, Michael D. Mysak; Bennett Jones LLP;
Legal Alert/Article
January 19, 2015, previously published on May 5, 2014
The 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...

 

HTMLCalifornia Court of Appeal Applies Delaware Law to Deny Discovery in Shareholder Derivative Action
Madalyn Macarr, John P. Stigi; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
January 16, 2015, previously published on December 23, 2014
In 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...

 

HTMLFINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Manuel F. Gomez, Jeff Kern; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
January 16, 2015, previously published on November 12, 2014
In 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...

 


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