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|OSC Accepts Circumstantial Evidence of Tipping and Insider Trading in Important New Decision|
Shane C. D'Souza, Rene R. Sorell; McCarthy Tétrault LLP;
April 2, 2015, previously published on March 30, 2015In the recent Azeff decision, which followed a contested hearing, the Ontario Securities Commission (OSC) accepted several insider tipping and trading allegations based on “firmly established” circumstantial evidence against a mergers and acquisitions (M&A) lawyer and four registrants....
|SEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) |
Andrew S. Kreider, Jason R. Schendel, John D. Tishler; Sheppard, Mullin, Richter & Hampton LLP;
March 24, 2015, previously published on January 29, 2015On January 16, 2015, SEC Chair Mary Jo White issued a directive that the staff of the SEC review its position on Rule 14a-8(i)(9) of the Securities Exchange Act of 1934 (the “Exchange Act”). Concurrent with SEC Chair White’s directive, the Division of Corporation Finance announced...
|Legal Update for Securities|
Terrance A. Bostic, Jeffrey J. Chomko, Samuel E. Cohen, Andrew W. Davitt, Denis C. Dice; Marshall Dennehey Warner Coleman Goggin P.C.;
March 18, 2015, previously published on March 20, 2015In a recent FINRA arbitration, Stanley Abel v. Janney Montgomery Scott, FINRA Arbitration No. 14-00018, Sam Cohen (Philadelphia, PA) obtained a directed verdict on behalf of his clients, Janney Montgomery Scott LLC, and its registered representative. The claimant, a public customer, as well as a...
|E-Discovery and Social Networking: Perils and Pitfalls|
Candace C. Uxbridge; was;
March 13, 2015, previously published by LexisNexis Martindale-Hubbell Counsel to Counsel MagazineThis is the article abstract. Important for readers and SEO.
|2015 Disclosure Update |
Colin Cameron-Vendrig, Jason M. Saltzman; Borden Ladner Gervais LLP;
March 13, 2015, previously published on February 6, 2015Each year the Securities and Capital Markets team at BLG is asked what has changed to the continuous disclosure requirements for Canadian public companies.
|The Ontario Court of Appeal Confirms Scrutiny for Leave in Securities Class Actions|
Paul Davis, Miranda Lam; McCarthy Tétrault LLP;
March 12, 2015, previously published on January 7, 2015At the end of 2005, Ontario legislation came into effect which enabled aggrieved shareholders to bring a statutory action for secondary market misrepresentation against issuers and their directors and officers (and others) without the requirement to establish individual reliance. In order to...
|The EBA Report On Securitisation Risk Retention, Due Diligence And
Disclosure - More Of The Same For The CLO Market?|
Robert Cannon, David Quirolo, Nick Shiren, Daniel Tobias; Cadwalader, Wickersham & Taft LLP;
March 12, 2015, previously published on January 8, 2015On 22 December 2014, the European Banking Authority (the “EBA”) published an opinion and a report (together, the “Report”) on securitisation retention, due diligence and disclosure requirements under Regulation (EU) No 575/2013 (the “Capital Requirements...
|SEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act|
Rebecca G. DiStefano; Greenberg Traurig, LLP;
March 12, 2015, previously published on January 21, 2015On Dec. 18, 2014, the Securities and Exchange Commission (SEC) proposed amendments to current rules under Section 12(g) of the Securities Exchange Act of 1934, as amended (Exchange Act), that would implement provisions of Titles V and VI of the Jumpstart Our Business Startups Act, which became law...
|Effective May 5, 2015: Implications For Issuers And Dealers, As Well As For Retail Investors|
Michael Burns, Rebecca A. Cowdery, Donna Spagnolo, Michael Taylor, Michael T. Waters; Borden Ladner Gervais LLP;
March 12, 2015, previously published on February 27, 2015The increased pace of regulatory change experienced over the last few years appears poised to continue during 2015, along with the Canadian Securities Administrators’ (CSA) focus on enhancing protections for retail investors. The CSA recently finalized and released important amendments to...
|New York Enacts Revisions to the UCC|
Steven N. Cohen, Lech Kalembka, Bryon Mulligan; Cadwalader, Wickersham & Taft LLP;
March 12, 2015, previously published on December 29, 2014As many readers are aware, substantial revisions to Article 9 of the Uniform Commercial Code (the “UCC”) became effective in all 50 states and the District of Columbia in 2001 or shortly thereafter.