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Documents on security
 

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HTMLRegulators Issue Annual Priorities Letters for Broker-Dealers
Russell M. Fecteau, Amy Natterson Kroll, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
January 30, 2014, previously published on January 17, 2014
On January 2, 2014, FINRA issued its annual letter to member firms outlining its 2014 Regulatory and Examination Priorities (the “FINRA Letter”). A week later, on January 9, the SEC issued its own letter (the “SEC Letter”). While both regulators are quick to note that the...

 

HTMLCanadian Mining Industry Calls for Mandatory Disclosure of Payments to Government
Robert N. Black, Graham Erion, John Munnis; Davis LLP;
Legal Alert/Article
January 24, 2014, previously published on January 17, 2014
Canada’s two largest mining industry groups, the Mining Association of Canada (“MAC”) and the Prospectors and Developers Association of Canada (“PDAC”), joined by two civil society transparency groups (together, the “Working Group”) released their final...

 

Adobe PDFSEC and FINRA Publish 2014 Examination Priorities for Broker-Dealers
Sutherland Asbill Brennan LLP;
Legal Alert/Article
January 23, 2014, previously published on January 17, 2014
On January 9, 2014, the U.S. Securities and Exchange Commission (SEC) published its 2014 examination priorities (SEC Letter), just one week after the Financial Industry Regulatory Authority (FINRA) published its 2014 regulatory and examination priorities for FINRA members (FINRA Letter). With the...

 

HTMLChange to Ontario’s Capital Raising Exemptions on the Horizon for 2014
Gregory Hogan, Alexandra Iliopoulos, Joel McElravy; Cassels Brock & Blackwell LLP;
Legal Alert/Article
January 23, 2014, previously published on January 17, 2014
The Ontario Securities Commission (the “OSC”) has announced it will publish for comment in the first quarter of 2014 the following proposed capital raising prospectus exemptions (the “proposed exemptions”):

 

HTMLSEC Announces 2014 Examination Priorities for Investment Advisers
Thomas M. Devaney, Jung Yeon Son; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
January 22, 2014, previously published on January 17, 2014
On January 9, 2014, the Securities and Exchange Commission released its examination priorities for 2014 (the “2014 Exam Priorities Release”), covering a wide range of issues at financial institutions, including investment advisers and investment companies, hedge funds and private equity...

 

Adobe PDFEuropean Banking Authority Publishes Final Draft Regulatory Technical Standards on Securitisation Retention Rules - Who Can Now Retain in a Managed CLO?
Cadwalader Wickersham Taft LLP;
Legal Alert/Article
December 23, 2013, previously published on December 19, 2013
Earlier this week, the EBA published its final draft Regulatory Technical Standards (“Draft RTS”) on securitisation retention rules and related requirements. The RTS are intended to provide greater clarity and transparency for market participants, and to support compliance and foster...

 

Adobe PDFGlass Lewis 2014 Proxy Season Policy Updates
Jonathan Feldman, Matthew Segal; Goodmans LLP - Toronto;
Legal Alert/Article
December 23, 2013, previously published on December 17, 2013
Proxy advisory firm Glass Lewis & Co. (“GL”) recently released its proxy voting policy updates for the 2014 proxy season. The new guidelines address, among other things, corporate governance, shareholder rights and defences and executive compensation. This update summarizes the...

 

HTMLCorrectness Is “Fashionable”, But In a Bad Way: SCC Broadens Scope for Administrative Tribunals and Securities Commissions
Elder C. Marques, Ronald Podolny, Helen Richards; McCarthy Tétrault LLP;
Legal Alert/Article
December 18, 2013, previously published on December 17, 2013
The Supreme Court of Canada has released what may be the most important administrative law appeal of the year in McLean v. British Columbia (Securities Commission), reaffirming the deference that administrative tribunals are owed when interpreting their “home” or closely related...

 

Adobe PDFNIST Cybersecurity Framework Part I: Understanding Its Structure and Potential Impact
Louis S. Dennig, Kimberly Kiefer Peretti; Alston & Bird LLP;
Legal Alert/Article
December 18, 2013, previously published on December 16, 2013
On October 22, 2013, the National Institute of Standards and Technology (NIST) released its Preliminary Cybersecurity Framework (“Framework”), marking one of the final steps in creating the “voluntary” Framework envisioned in an Obama Administration Executive Order (EO)...

 

HTMLSEC Focused on Compliance Programs
Michael G. Dana, Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 11, 2013, previously published on November 8, 2013
The Securities and Exchange Commission (SEC) continues to be very focused on compliance programs, and is bringing more enforcement actions to drive home the importance of maintaining a good compliance program. This means the relationship between a board of directors and the fund’s chief...

 


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