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|More Provinces Crowd into Crowdfunding, but Not Yet Ontario or Alberta|
Bruce A. Hibbard, Michael N. Melanson, Usman M. Sheikh, Gary S.A. Solway; Bennett Jones LLP;
May 28, 2015, previously published on May 25, 2015On May 14, 2015, the securities regulators of British Columbia, Saskatchewan, Manitoba, Québec, New Brunswick and Nova Scotia (the Crowdfunding Jurisdictions) announced that they have implemented, or expect to implement, exemptions that will allow Canadian start-ups and early-stage companies...
|The OSC Introduces Amendments to the Voluntary Delisting Rules in the TSX Company Manual|
Ronald W. Fichter, Kwang Lim, John D. MacNeil, Stephanie A. Romano; Bennett Jones LLP;
May 28, 2015, previously published on May 22, 2015An issuer seeking to voluntarily delist its securities from the Toronto Stock Exchange (TSX) is now faced with new rules aimed at providing protection to its security holders, which may require security holder approval to proceed with the delisting. On April 30, 2015, the Ontario Securities...
|Canadian Securities Administrators Adopt National Policy 25-201 Guidance for Proxy Advisory Firms|
J. Paul D. Barbeau, Matthew R. Olson, William S. Osler, Lisa Telebar; Bennett Jones LLP;
May 27, 2015, previously published on May 8, 2015On April 30, 2015, the Canadian Securities Administrators (CSA) adopted National Policy 25-201Guidance for Proxy Advisory Firms. The Policy may be viewed on the websites of CSA members, including the Alberta Securities Commission and the Ontario Securities Commission.
|SEC Issues Guidance on Approach to Forum Selection in Contested Actions|
Nicolas Bourtin, David H. Braff, Justin J. DeCamp, Robert J. Giuffra, Sharon L. Nelles; Sullivan & Cromwell LLP;
May 27, 2015, previously published on May 11, 2015The SEC’s Division of Enforcement has issued guidelines explaining the factors it will consider in determining whether to bring enforcement actions as administrative or judicial proceedings. The SEC recently has been criticized for its increased use of administrative proceedings to resolve...
|OSC Applies Insider Trading Principles to a Non-Reporting Issuer as a Matter of "Public Interest"|
Goodmans LLP - Toronto;
May 26, 2015, previously published on April 8, 2015The Ontario Securities Commission (OSC) issued an Order approving a settlement agreement between OSC staff (“Staff”) and Anand Hariharan in connection with insider trading allegations against Hariharan regarding his trading of a non-reporting issuer’s option contracts (the...
|US Bureau of Economic Analysis BE-10 Reporting Deadline Looms|
Richard Cassell, David Guin, Mark Tice, Erik X. Wallace, Sheri M. Yano; Withers Bergman LLP;
May 25, 2015, previously published on May 14, 2015The US Department of Commerce Bureau of Economic Analysis (the “BEA”) recently revived a little-known reporting obligation under a US statute called the International Investment and Trade in Services Survey Act (the “Act”). As we explain below, many US companies, US...
|SEC’s Proposed SBS Rules on Cross-Border Security-Based Swap Activities|
Brian Barrett, James M. Cain, Daphne G. Frydman, David T. McIndoe, Mark D. Sherrill; Sutherland Asbill & Brennan LLP;
May 25, 2015, previously published on May 22, 2015When the Securities and Exchange Commission (SEC) adopted final rules in June 2014 on the cross-border activities of security-based swap (SBS) dealers and major SBS participants, the SEC indicated that it would reserve the definition of the phrase “transaction conducted within the United...
|SEC to Registered Investment Advisers and Broker-Dealers: It’s Your Turn to Pay Attention to Cybersecurity|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
May 22, 2015, previously published on May 18, 2015The Division of Investment Management of the Securities & Exchange Commission (SEC) has weighed in on cybersecurity of registered investment companies (“funds”) and registered investment advisers (“advisers”) as an important issue because both funds and advisers...
|SEC Proposals: Additional Form ADV Reporting, Revised Recordkeeping Rules|
Sutherland Asbill Brennan LLP;
May 22, 2015, previously published on May 21, 2015On May 20, the SEC proposed additional reporting requirements for advisers on Form ADV that would (1) require advisers to provide additional information, including information about their separately managed account business; (2) incorporate a method for private fund adviser entities operating a...
|Digital Advertising Alliance to Enforce Mobile App Principles|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
May 22, 2015, previously published on May 18, 2015Starting September 1, the Digital Advertising Alliance (DAA) will begin to enforce its Application of Self-Regulatory Principles to the Mobile Environment. The DAA issued the mobile principles back in July of 2013 (see our post here), but delayed enforcement while the DAA implemented a choice...