The health crisis and the restrictions and containment measures also have an impact on French securities and corporate law. We offer below an update of our previous alert regarding the holding of general meetings of public...more
The health crisis caused by COVID-19 and the restrictions and containment measures implemented to contain it have an impact on French securities and corporate laws. Below is a brief overview of this impact on profit warnings,...more
COVID-19: DISCLOSURE AND CAPITAL MARKETS CONSIDERATIONS FOR US LISTED PUBLIC COMPANIES -
The outbreak and continuing spread of the novel coronavirus (“COVID-19”) and the related disruption to the worldwide economy are...more
EU DEVELOPMENTS -
Corporate and Capital Markets -
Institutional Investment: ESMA Report on Undue Short-Term Pressure on Corporations (Corporate Aspects) -
On 18 December 2019, the European Securities and Markets...more
1/22/2020
/ Corporate Governance ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Prospectus ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
UK ,
Venture Capital
Below is a summary of the main developments in US and EU corporate governance and securities law and certain financial markets regulation developments since our last update in April 2019.
...more
U.S. DEVELOPMENTS -
SEC and NYSE/Nasdaq Developments -
SEC Proposes to Expand “Testing the Waters” Exemption to Permit Pre-Offering Communications -
On 19 February 2019, the Securities and Exchange Commission...more
6/24/2019
/ Climate Change ,
Commission Delegated Regulation ,
Corporate Governance ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Dodd-Frank ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
Green Bonds ,
Greenhouse Gas Emissions ,
IOSCO ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK ,
UK Brexit
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
4/25/2019
/ BEIS ,
Corporate Governance ,
Enforcement Actions ,
EU ,
EU Benchmark Regulation ,
European Securities and Markets Authority (ESMA) ,
Italy ,
Nasdaq ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
2/14/2019
/ Accounting Controls ,
Annual Reports ,
Audits ,
Capital Markets Union ,
Climate Change ,
Cooperation ,
Corporate Governance ,
Enforcement Actions ,
EU ,
European Commission ,
Foreign Corrupt Practices Act (FCPA) ,
GAAP ,
Hong Kong ,
Private Placements ,
Proxy Season ,
UK ,
UK Brexit
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
1/24/2019
/ CONSOB ,
Corporate Governance ,
Cyber Threats ,
Cybersecurity ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Executive Compensation ,
Glass Lewis ,
Hong Kong ,
Italy ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Shareholder Activism ,
Smaller Reporting Companies ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
11/8/2018
/ Banking Sector ,
Competition ,
Consultation ,
Corporate Governance ,
Derivatives ,
Enforcement ,
EU ,
Financial Services Industry ,
FinTech ,
Investment Funds ,
MiFID II ,
Onshoring ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Recovery Plans ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
11/5/2018
/ Banking Sector ,
BSA/AML ,
Competition ,
Corporate Governance ,
EU ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Recovery Plans ,
Securities ,
UK ,
UK Brexit
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
10/22/2018
/ Consultation ,
Corporate Governance ,
Derivatives ,
EU ,
Financial Services Industry ,
FinTech ,
Investment Funds ,
Prudential Regulation Authority (PRA) ,
Securities ,
UK ,
UK Brexit
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
10/19/2018
/ Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Financial Markets ,
Hong Kong ,
Italy ,
Listing Standards ,
Market Abuse ,
MiFID II ,
Regulatory Standards ,
Securities Litigation ,
Takeovers ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/24/2018
/ AML/CFT ,
Banking Sector ,
Corporate Governance ,
EU ,
Financial Institutions ,
FinTech ,
Prudential Standards ,
Recovery Plans ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
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.
...more
8/1/2018
/ C&DIs ,
CFTC ,
Corporate Governance ,
Cryptocurrency ,
Cybersecurity ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
FRCP 23 ,
GAAP ,
JOBS Act ,
Joint Comprehensive Plan of Action (JCPOA) ,
Nasdaq ,
Non-GAAP Financial Measures ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
SIFMA
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
7/20/2018
/ American Pipe & Construction Co. v. Utah ,
Board of Directors ,
Corporate Governance ,
Diversity ,
Enforcement Actions ,
EU ,
Iran Sanctions ,
MLD5 ,
Non-GAAP Financial Measures ,
Prospectus ,
Securities Litigation ,
Shareholder Rights ,
UK ,
Virtual Currency
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
7/20/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Corporate Governance ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Investment Funds ,
MiFID II ,
Prudential Standards ,
Securities ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
7/5/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Competition ,
Corporate Governance ,
Derivatives ,
EU ,
Financial Services Industry ,
Popular ,
Prudential Standards ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
6/4/2018
/ AML/CFT ,
Banking Sector ,
Corporate Governance ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Securities ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/26/2018
/ AML/CFT ,
Bank Resolution Scheme ,
Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Corporate Misconduct ,
EU ,
Financial Services Industry ,
Prudential Standards ,
Securities ,
UK ,
UK Brexit
In this newsletter, we provide a snapshot of the principal European, U.S. and selected international governance and securities law developments of interest to European corporates.
...more
4/19/2018
/ Corporate Governance ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
GAO ,
Italy ,
London Stock Exchange ,
Nasdaq ,
NYSE ,
Securities and Exchange Commission (SEC) ,
UK