On July 1, 2015, the Securities and Exchange Commission (the SEC) proposed new rules that would mandate U.S. stock exchanges to establish and enforce standards requiring listed companies to adopt compensation recovery...more
The Securities and Exchange Commission’s proposed rules take a hard line against issuers indemnifying executives against clawbacks: We believe that indemnification arrangements may not be used to avoid or nullify the recovery...more
In this Issue:
- The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States
- Chapter 1: Background
- Chapter 2: Unregistered Global Offerings – Regulation S, Rule 144A and...more
The SEC is considering an amended proposal by NYSE Arca to adopt generic listing standards for actively managed ETFs.
On June 5, the US Securities and Exchange Commission (SEC) issued an order (the Order) instituting...more
On March 10, 2015, the SEC published a notice in the Federal Register requesting public comment on a proposed rule change from NYSE Arca, Inc. (“NYSE Arca”) that, if approved, would make it easier for actively managed...more
As the 2015 AGM and reporting season gets underway, this bulletin gives an overview of the key changes affecting listed companies.
Directors' remuneration report
The 2015 AGM season will see the second year of...more
On September 26, the Financial Conduct Authority (FCA) published consultation paper CP14/21, incorporating its policy statement CP14/02 (sponsor competence) and other changes into the Listing Rules and Prospectus Rules....more
FOREWORD BY AUSTRALIAN SECURITIES EXCHANGE -
As at 30 June 2014, the aggregate market capitalisation of the Australian Securities Exchange (“ASX”) was about AUD$1.5 trillion. 1,948 domestic companies accounted for...more
Changes to FCA Listing Rules increase requirements for delisting a premium listed company with a controlling shareholder.
On 1 May 2014, the UK’s Financial Conduct Authority (FCA) announced changes to Listing Rule 5,...more
On 2 October 2012, the Financial Conduct Authority (FCA) published a wide-ranging consultation paper (CP12/25) on the effectiveness of the listing regime which proposed a number of changes to the Listing Rules, including in...more
Qatar Petroleum (QP) recently announced the first initial public offering (IPO) in Qatar since 2010 and the introduction by the Qatar Financial Markets Authority (QFMA) of new listing rules. The IPO is also the first IPO...more
This eUpdate is the second in a two part series examining the effect of the changes under the “Joint policy statement regarding the listing of overseas companies” on the Exchange (the New JPS) released in late September by...more
The Nasdaq Stock Market recently amended its listing rules to loosen the test for compensation committee member independence. The old rule, which implements the SEC’s Rule 10C-1 under the Exchange Act, prohibited members from...more
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