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|Regulators Issue Annual Priorities Letters for Broker-Dealers|
Russell M. Fecteau, Amy Natterson Kroll, Michael R. Weissmann; Bingham McCutchen LLP;
January 30, 2014, previously published on January 17, 2014On 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...
|Canadian Mining Industry Calls for Mandatory Disclosure of Payments to Government|
Robert N. Black, Graham Erion, John Munnis; Davis LLP;
January 24, 2014, previously published on January 17, 2014Canada’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...
|SEC and FINRA Publish 2014 Examination Priorities for Broker-Dealers|
Sutherland Asbill Brennan LLP;
January 23, 2014, previously published on January 17, 2014On 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...
|Change to Ontario’s Capital Raising Exemptions on the Horizon for 2014|
Gregory Hogan, Alexandra Iliopoulos, Joel McElravy; Cassels Brock & Blackwell LLP;
January 23, 2014, previously published on January 17, 2014The 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”):
|SEC Announces 2014 Examination Priorities for Investment Advisers|
Thomas M. Devaney, Jung Yeon Son; Sheppard, Mullin, Richter & Hampton LLP;
January 22, 2014, previously published on January 17, 2014On 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...
|European Banking Authority Publishes Final Draft Regulatory Technical Standards on Securitisation Retention Rules - Who Can Now Retain in a Managed CLO?|
Cadwalader Wickersham Taft LLP;
December 23, 2013, previously published on December 19, 2013Earlier 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...
|Glass Lewis 2014 Proxy Season Policy Updates|
Jonathan Feldman, Matthew Segal; Goodmans LLP - Toronto;
December 23, 2013, previously published on December 17, 2013Proxy 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...
|Correctness 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;
December 18, 2013, previously published on December 17, 2013The 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...
|NIST Cybersecurity Framework Part I: Understanding Its Structure and Potential Impact|
Louis S. Dennig, Kimberly Kiefer Peretti; Alston & Bird LLP;
December 18, 2013, previously published on December 16, 2013On 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)...
|SEC Focused on Compliance Programs|
Michael G. Dana, Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
November 11, 2013, previously published on November 8, 2013The 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...