News & Analysis as of

Listing Rules

Proposed FCA Rules Extend Warmer Welcome to Sovereign-Controlled Companies

by Latham & Watkins LLP on

On 13 July 2017, the Financial Conduct Authority (FCA) proposed a relaxation of certain aspects of the premium listing segment for sovereign-controlled companies. The proposed new rules will create a new premium listing...more

Governance & Securities Law Focus: Asia Edition - July 2017

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

Proposal for a new category of premium listing for sovereign controlled companies

by Dechert LLP on

It has been widely reported that leading international markets, including London and New York, are angling to land the highly-anticipated IPO of Saudi Aramco. ...more

NASDAQ Proposes Revisions to Shareholder Approval Rules

by Dechert LLP on

Nasdaq, Inc. recently requested comments regarding possible updates to its “20% voting rule.” That rule, adopted in 1990, requires Nasdaq listed companies to obtain shareholder approval when issuing 20% or more of its stock...more

SEHK Invites Market Feedback on Establishment of New Listing Board

On June 16, 2017, the Stock Exchange of Hong Kong Limited (SEHK) published a concept paper setting forth proposals for the establishment of a new listing board (the "New Board"), with a view to attracting "New Economy"...more

Breakthrough? – Proposed New Board of the Hong Kong Stock Exchange May Allow Listing of Companies with Disproportionate Voting...

by Dorsey & Whitney LLP on

In June 2017, Hong Kong Exchanges and Clearing Limited and its subsidiary The Stock Exchange of Hong Kong Limited (the “HKEx”) launched a consultation to seek public feedback on a set of proposals contained in two separate...more

Listing Reform in Hong Kong – Proposed Changes to the Growth Enterprise Market (GEM) and Main Board Listing Rules – Part 2

by Dorsey & Whitney LLP on

In June 2017, Hong Kong Exchanges and Clearing Limited and its subsidiary The Stock Exchange of Hong Kong Limited (the “HKEx”) launched a consultation to seek public feedback on a set of proposals contained in two separate...more

Corporate and Financial Weekly Digest - Volume XII, Issue 25

SEC/CORPORATE - NYSE Withdraws Proposed Rule to Allow Listing Without an IPO - On June 19, the New York Stock Exchange (NYSE) filed a notice withdrawing its proposed rule that would have allowed companies to list on the...more

FCA Publishes Two Papers on the Effectiveness of UK Primary Markets

by Jones Day on

In the FCA's 2016/2017 Business Plan, one of the FCA's main priorities was to carry out a review of the structure of the United Kingdom's primary markets in order to ensure that they continue to serve the needs of both...more

New NZX Corporate Governance Code

by DLA Piper on

The NZX yesterday released its updated Corporate Governance Code (New Code), which will replace the existing Best Practice Code set out in the Appendix to the NZX Listing Rules (Old Code). The New Code has been developed from...more

SEC Denies Listing of another Bitcoin Fund; Petition for Review Filed for Winklevoss Bitcoin Trust

The SEC has denied a proposed rule change by NYSE Arca to permit the listing and trading of shares of the SolidX Bitcoin Trust. The reasons were substantially similar to the reasons the SEC denied a proposed rule change...more

Listing Reform in Hong Kong

by Dorsey & Whitney LLP on

In June 2016, the Securities and Futures Commission (the “SFC”) and the Stock Exchange of Hong Kong Limited (the “HKEx”) issued a joint consultation paper (the “Consultation Paper”) in which they proposed to change the...more

UK Regulator Proposes Changes to UK Listing Rules

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a consultation paper proposing amendments to the Listing Rules of the FCA's Handbook...more

Regulation Round Up - February 2017

by Proskauer Rose LLP on

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

OTCQX Update

by Dorsey & Whitney LLP on

In recent years, many Canadian companies have sought to create a U.S. market for their shares by listing on the OTCQX. Qualifying Canadian companies that have their primary listing on the Toronto Stock Exchange, the TSX...more

Channel Islands Stock Exchange: An Unlikely Hot Topic

by White & Case LLP on

European Leveraged Finance Alert Series: Issue 1, Vol. I - The Channel Islands Stock Exchange (CISE) was established in 1998. Since then, it has grown to a current total market capitalization of £393 billion. During...more

Saudi Arabia Update - January 2017

by Dentons on

Legal developments - Government's payments of the remaining dues to the private sector - As a result of the crash in oil prices in mid-2014, the Saudi government was forced to cancel projects and delay payments to...more

Saudi Arabia Sets Up New Secondary Listing Market (the Parallel Market)

by Dechert LLP on

The Capital Market Authority (CMA) of the Kingdom of Saudi Arabia (KSA) has approved new regulations for Saudi and for Gulf Cooperative Council (GCC) incorporated joint stock companies (JSC) to list on the Kingdom’s new...more

"Hong Kong Regulatory Update - December 2016"

This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more

Hong Kong Regulatory Update - October 2016

This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more

Governance & Securities Law Focus: Latin America Edition, August 2016

by Shearman & Sterling LLP on

This newsletter provides a snapshot of the principal US and selected global governance and securities law developments during the second quarter of 2016 that may be of interest to Latin American corporations and financial...more

Secondary Listings on the SGX – Key Requirements and Considerations

by Dentons on

As at 13 January 2016, there are 34 companies with a secondary listing on the Singapore Exchange Securities Trading Limited (the “SGX”). Out of these companies, 7 achieved their secondary listing on the SGX in the past 5...more

SEC Streamlines Exchange Listings for Actively Managed ETFs

by Ropes & Gray LLP on

On July 22, 2016, the SEC approved proposed listing rule amendments by NYSE Arca, Inc. (available here) and Bats BZX Exchange, Inc. (available here) to provide “generic” listing standards for actively managed ETFs. These...more

USFWS Publishes Final Methodology for Prioritizing Listing Petition Status Reviews

by Nossaman LLP on

On July 27, 2016, the U.S. Fish and Wildlife Service (“USFWS”) published a Federal Register notice of its final Methodology for Prioritizing Status Reviews and Accompanying 12-Month Findings on Petitions for Listing Species...more

NASDAQ Adopts Rule to Require Disclosure of Third Party Compensation of Directors

by Fenwick & West LLP on

Nasdaq has released a new rule, Rule 5250(b)(3), which requires listed companies to disclose the material terms of all agreements and arrangements between entities other than the issuer (“Third Parties”) and directors or...more

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