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Documents on securities law
 

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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...

 

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.

 

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:

 

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.

 

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...

 

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...

 

HTMLThe Alberta Securities Commission Imposes Important New Obligations for Recipients of Production Demands
Justin R. Lambert; Bennett Jones LLP;
Legal Alert/Article
January 16, 2015, previously published on February 21, 2014
The Alberta Securities Commission (ASC) has always had the power to compel Registrants, Reporting Issuers, and others to produce records in the course of an investigation. Section 93.4 of the Securities Act (Alberta) has also previously required that persons not destroy records required for an ASC...

 

HTMLIIROC Releases Final Guidance on Underwriting Due Diligence
Patrick Boucher, Matthew Cumming, Michael J. Eldridge, Graham P.C. Gow, Robert O. Hansen; McCarthy Tétrault LLP;
Legal Alert/Article
January 16, 2015, previously published on January 6, 2015
On December 18, 2014, the Investment Industry Regulatory Organization of Canada (IIROC) published Rules Notices 14-0299 and 14-0300 in connection with the release of final guidance respecting underwriting due diligence (Final Guidance). The Final Guidance follows IIROC’s publication of...

 

HTMLRecent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies
Alicia M. Tschirhart, Robert L. Wernli; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
January 16, 2015, previously published on December 5, 2014
Recently the SEC announced enforcement actions which highlight the importance of complying with the beneficial ownership reporting requirements under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934, or the Exchange Act.

 


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