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HTMLSEC Whistleblower Is Second Compliance Officer to Receive Award
Thomas R. Bundy, Patricia A. Gorham, Cynthia M. Krus, Allegra J. Lawrence-Hardy, Robert D. Owen; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
May 4, 2015, previously published on May 4, 2015
On April 22, 2015, the U.S. Securities and Exchange Commission (SEC) issued its second whistleblower award to an employee with internal audit or compliance responsibilities. The recipient of the award is a compliance professional who stands to receive between $1.4 million and $1.6 million.1...

 

HTMLSEC Charges Hedge Fund Advisory Firm with Improper Expense Allocations and Violation of the Custody Rule
Sutherland Asbill Brennan LLP;
Legal Alert/Article
May 4, 2015, previously published on May 1, 2015
The Securities and Exchange Commission recently announced the settlement of charges against a Santa Barbara, California based hedge fund advisory firm and two executives involved in improper utilization of fund assets to pay undisclosed operating expenses.

 

HTMLSEC Updates Guidance on Cybersecurity
Steven B. Boehm, Michael B. Koffler, Robert D. Owen, Stephen E. Roth, Mary Jane Wilson-Bilik; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
May 1, 2015, previously published on April 30, 2015
Emphasizing the critical importance of cybersecurity to registered investment companies (RICs), including insurance separate accounts and business development companies, and to investment advisers, the SEC’s Division of Investment Management issued new Cybersecurity Guidance on April 28, 2015...

 

HTMLSEC Charge Hedge Fund Advisory Firm with Improper Expense Allocations and Violation of the Custody Rule
Sutherland Asbill Brennan LLP;
Legal Alert/Article
May 1, 2015, previously published on May 1, 2015
The Securities and Exchange Commission recently announced the settlement of charges against a Santa Barbara, California based hedge fund advisory firm and two executives involved in improper utilization of fund assets to pay undisclosed operating expenses.

 

HTMLSEC Brings First Enforcement Action Targeting Language Contained in Confidentiality Agreements
Margaret Hutchins Campbell, Jesse C. Ferrantella; Ogletree, Deakins, Nash, Smoak & Stewart, P.C.;
Legal Alert/Article
May 1, 2015, previously published on April 1, 2015
As we reported in a previous post, “SEC Investigating Companies’ Employment Contracts That Restrict Whistleblowing,” the U.S. Securities and Exchange Commission (SEC) has been vocal about its concerns regarding the effects of confidentiality provisions on the agency’s...

 

HTMLSAFE Circular 19: A Nationwide Liberalisation of Capital Account Settlement for FIEs
Betty F. K. Tam; Johnson Stokes & Master Mayer Brown JSM;
Legal Alert/Article
May 1, 2015, previously published on April 17, 2015
On 8 April 2015, the State Administration of Foreign Exchange (SAFE) issued the Circular of the SAFE on Relevant Issues Concerning the Reform of the Administrative Method of the Conversion of Foreign Exchange Funds by Foreign-invested Enterprises (Circular 19), which will come into effect on 1 June...

 

HTMLThe CSA Announces Proposed Amendments to the Take-Over Bid Regime
Eric Chernin, Ted R. Gotlieb, Bradley D. Markel, David A. Spencer; Bennett Jones LLP;
Legal Alert/Article
April 29, 2015, previously published on April 07, 2015
The amendments announced on March 31, 2015 followed an 18-month consultation period by Canadian securities regulators following the original competing proposals to the regulation of defensive tactics and reform of the existing take-over bid regime announced on September 11, 2014, by the CSA and the...

 

Adobe PDFSecuritization in China - Overview and Issues
Jeffrey H. Chen, Liu Haiping; Dentons Canada LLP;
Legal Alert/Article
April 29, 2015, previously published on February 11, 2015
This article provides an overview of the two main government-sponsored securitization schemes in the PRC - one administered by the China Bank Regulatory Commission (CBRC), the other administered by the China Securities Regulatory Commission (CSRC). The main body of the article, however, focuses on...

 

Adobe PDFCourt Fees to Rise Up to Sixfold From Monday 9 March 2015
Bryan Johnston; Dentons Canada LLP;
Legal Alert/Article
April 29, 2015, previously published on March 5, 2015
Parliament resolved yesterday, 4 March 2015, to approve HM Government's proposed introduction of "enhanced" court fees. According to section 1 of the Civil Proceedings and Family Proceedings Fees (Amendment) Order 2015, the new regime will take effect from Monday 9 March 2015. The new...

 

HTMLScreening Secondary Market Liability Actions: the Supreme Court Raises the Bar for Plaintiffs
Pierre-Jérôme Bouchard, Laure Fouin, Miranda Lam; McCarthy Tétrault LLP;
Legal Alert/Article
April 29, 2015, previously published on April 23, 2015
On April 17, 2015, the Supreme Court of Canada (SCC) rendered its opinion in Theratechnologies inc. v. 121851 Canada inc., 2015 SCC 18 (Theratechnologies), its first decision on the Quebec statutory secondary market liability regime adopted in 2007 pursuant to a reform of the Quebec Securities Act...

 


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