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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...

 

HTMLSEC Issues Order To Solicit Comments On FINRA Capital Acquisition Broker Proposal And Determine Whether To Approve Or Disapprove The Proposal
Sutherland Asbill Brennan LLP;
Legal Alert/Article
March 28, 2016, previously published on March 25, 2016
At the end of last year, the SEC issued a notice of a proposed FINRA rule change that would establish a separate rule set for broker-dealers that meet the definition of a “capital acquisition broker” and elect to be governed under such rule set. Last week, the SEC issued an order in...

 

HTMLOntario Securities Commission Provides Tips and Guidance for Reporting Insiders
Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith, Timothy J. McCunn; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
Legal Alert/Article
March 18, 2016, previously published on March 1, 2016
The Ontario Securities Commission (OSC) recently reviewed the records of approximately 1,500 reporting insiders to assess compliance with the insider reporting requirements of the Securities Act (Ontario) and National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). In...

 

HTMLProposed Canadian Rule on Customer Clearing and Protection of Customer Collateral and Positions
Carol E. Derk, Julie Mansi; Borden Ladner Gervais LLP;
Legal Alert/Article
March 16, 2016, previously published on February 12, 2016
Proposed National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and the related companion policy (together, the "Customer Clearing Instrument") were published by the Canadian Securities Administrators (the " CSA") on January...

 

HTMLU.S. House Seeks to Expand the Pool of “Accredited Investors” for Private Placements
Brandt T. Bowman; Rhoads & Sinon LLP;
Legal Alert/Article
March 15, 2016, previously published on February 2016
On February 1, 2016, the U.S. House of Representatives passed H.R. 2187, the “Fair Investment Opportunities for Professional Experts Act” (the “Bill”), which would amend the definition of “accredited investor” in Section 2(a)(15) of the Securities Act of 1933...

 


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