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The Financial Report - Volume 3, No. 13 • July 10, 2014 (Global)

Discussion and Analysis - On Tuesday of this week, The Wall Street Journal celebrated the 125th anniversary of the publication of its first edition. The last page of the special anniversary supplement to the July 8,...more

Business News Digest – July 2014

In this issue: - SEC v. Citigroup: A New Standard for Reviewing Consent Decrees - Credit Unions Beware – the TARP Watchdog Is Ready to Pounce - Canada's New Anti-Spam Legislation: What Does It Mean for...more

U.S. Appellate Court Overturns Decision Rejecting SEC’s No-Contest Settlement

The United States Court of Appeals for the Second Circuit held on June 4, 2014 that the U.S. Southern District Court of New York “abused its discretion” when it refused to approve a “no-contest” settlement agreement between...more

The Financial Report Volume 3, No. 9 • May 2014 (Global)

Discussion and Analysis - Often, overwhelming public opinion is absolutely correct. This week’s news has been dominated by the NBA’s banning of LA Clippers owner Donald Sterling over the outrageous and inexcusable...more

The Financial Report - Volume 3, No. 8 • April 2014 (Global)

Discussion and Analysis - According to various media sources summarizing the findings of a recently published “Progress Report,” as of April 1, 2014, of the 398 total rulemaking requirements under the Dodd-Frank Act,...more

EB-5 Visas: a Source of Funding for US Businesses but not Without Risk

China’s wealthy investors are known for seeking secure havens for their money overseas. In addition to being considered a secure environment for their money, the US offers the EB-5 program providing the investor and his or...more

The Financial Report - Volume 3, No. 2 • January 23, 2014 (Global)

IN THIS ISSUE: • Discussion and Analysis • News from the Americas • News from Asia and the Pacific • News from Europe • Global Regulators • US Securities and Exchange Commission...more

NASDAQ Amending Compensation Committee Director Independence Requirements

On November 26, 2013, the NASDAQ Stock Market LLC (Nasdaq) filed with the Securities and Exchange Commission (SEC) proposed amendments to its listing rules on compensation committee composition to, among other things, replace...more

The Financial Report - Volume 2, No. 21 • November 2013 (Global)

Discussion and Analysis - This week, the Oxford Dictionaries chose “selfie” as the word of the year. It beat out a number of other relatively new Internet and social-media related terms, including “bitcoin.” In...more

The Senate Goes to the Supreme Court

The Supreme Court of Canada begins three days of hearings today into the federal government’s proposed amendments to the election and term limits of Senators. The federal government has, since it was first elected, attempted...more

How To Benefit From The US-Canada MJDS

The Multijurisdictional Disclosure System is a system developed by the U.S. Securities and Exchange Commission and the Canadian securities regulatory authorities that enables a very different regulatory regime for Canadian...more

The Financial Report - Volume 2, No. 19. October 2013 (Global)

Discussion and Analysis - Most of us have seen those top-rated TV commercials for a wireless provider featuring a conservatively dressed man sitting at a little table with several children and asking them, “Is it...more

"At-the-Market Offerings Under the MJDS"

Given the recent volatility and uncertainty in the capital markets, many Canadian issuers, particularly those in the resources sector, are hesitant to commit to traditional, fully marketed follow-on public offerings due to...more

The Financial Report - Volume 2, No. 18 • October 10, 2013 (Global)

IN THIS ISSUE: - Discussion and Analysis - News from the Americas - News from Asia and the Pacific - News from Europe - Global Regulators - US Securities and Exchange Commission Developments - US Commodity...more

The Financial Report - Volume 2, No. 17 • September 2013

Discussion and Analysis - Even some financial services industry professionals are confused. The 80-year-old prohibition on general solicitation ended on Monday of last week. This means it is now legal for companies to...more

The Financial Report - Volume 2, No. 16 • September 12, 2013

Discussion and Analysis - No doubt about it. The machines have taken over. Wednesday’s issue of The Wall Street Journal reports that automakers are focusing their efforts on developing self-driving automobiles....more

What’s Really Going On with Canadian Wrappers? The Canadian Way – Your Guide to Canada’s Securities Laws -- Volume 1, Number 6 –...

Have you heard that Canadian wrappers are a thing of the past and can be relegated to the dustbin of history? If that’s what you’ve heard, then you’ve heard wrong. Canadian wrappers are often still required. And even though...more

Corruption Enforcement Goes Global

As BakerHostetler recently reported in its FCPA Mid-Year Update, the phenomenon of parallel prosecutions is gaining popularity as more countries enact and enforce anti-corruption legislation....more

Canada and the United States Join Hands to Hunt Down Securities Fraud: Double Exposure for Companies and Their Executives?

Companies facing the recent surge of regulatory change in the United States, particularly under the Dodd-Frank Wall Street Reform and Consumer Protection Act, now may have Canadian regulators to worry about as well. On June...more

SEC Eases Publicity Restrictions for Some Private Placements, but with Strings Attached

The Jumpstart Our Business Startups Act (JOBS Act) was intended to stimulate the growth of small businesses by relaxing a number of requirements and restrictions under U.S. federal securities laws. One of the most potentially...more

Raising Capital in the United States: A Guide to Using MJDS for U.S. Public Offerings and Periodic Reporting

About this Publication: This publication is written for Canadian companies considering accessing the U.S. public capital markets through the Multi-jurisdictional Disclosure System (“MJDS”) and for those Canadian...more

The Financial Report - Volume 2, No. 12 • June 20, 2013

Discussion and Analysis - Earlier this week, US Securities and Exchange Commission Chairman Mary Jo White informed the SEC’s Enforcement Division staff that the SEC will begin requiring defendants to admit guilt in...more

Corruption in The Energy Sector: Criminal Fines, Civil Judgments, And Lost Arbitrations

Synopsis - This article examines the anti-bribery legislation of three countries, the United States, Canada, and the United Kingdom. The legislation of the three countries is compared and virtually all the criminal...more

Verbatim: Global Compliance - Quarterly Newsletter: Spring 2013

We've highlighted a few notable developments in corporate governance law taking place this spring that may be of interest to you. For more information on any of the topics listed below, please contact us at...more

Canadian Securities Regulators Grant Exemptions from Wrapper Requirements

A group of securities dealers has successfully obtained relief from most of the requirements that typically drive the need for a Canadian private placement supplement, or wrapper, for selling securities of non-Canadian...more

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