US DEVELOPMENTS -
SEC and NYSE/Nasdaq Developments -
SEC Proposes Changes to Accredited Investor Definition to Broaden Access to Investments -
In December 2019, the Securities and Exchange Commission (SEC)...more
2/8/2020
/ Acquisitions ,
Antitrust Provisions ,
Capital Markets ,
Corporate Governance ,
Department of Justice (DOJ) ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
Latin America ,
Mergers ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
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 September 2019.
...more
10/29/2019
/ C&DIs ,
CONSOB ,
Corporate Governance ,
Emerging Growth Companies ,
European Securities and Markets Authority (ESMA) ,
FATF ,
Financial Conduct Authority (FCA) ,
Investment Company Act of 1940 ,
Libor ,
New Rules ,
NYSE ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
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
9/23/2019
/ Acquisitions ,
Capital Markets ,
Corporate Governance ,
Enforcement Actions ,
EU ,
Financial Institutions ,
Italy ,
Mergers ,
NYSE ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
UK
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
This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the third quarter of 2018 that may be of interest to Latin American corporations and...more
11/19/2018
/ Corporate Governance ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
EU ,
Filing Fees ,
Foreign Corrupt Practices Act (FCPA) ,
Initial Public Offering (IPO) ,
Joint Comprehensive Plan of Action (JCPOA) ,
Nasdaq ,
NYSE ,
Proposed Amendments ,
Registration Statement ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
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 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 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
This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the first quarter of 2018 that may be of interest to Latin American corporations and...more
5/31/2018
/ Climate Change ,
Corporate Governance ,
Cybersecurity ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
London Stock Exchange ,
Nasdaq ,
PCAOB ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
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
This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the fourth quarter of 2017 that may be of interest to Latin American corporations and...more
3/5/2018
/ Corporate Governance ,
Cryptocurrency ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Foreign Corrupt Practices Act (FCPA) ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Initial Coin Offering (ICOs) ,
MiFID II ,
Nasdaq ,
NYSE ,
PCAOB ,
Prospectus Regulation (PR3) ,
Securities Litigation ,
UK
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
2/9/2018
/ AML/CFT ,
Asia ,
Board of Directors ,
Class Action ,
Compliance ,
Corporate Governance ,
Cryptocurrency ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
Initial Coin Offering (ICOs) ,
MiFID II ,
Non-GAAP Financial Measures ,
Popular ,
Securities Fraud
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
1/26/2018
/ Asia ,
Corporate Governance ,
Enforcement Actions ,
EU ,
Examination Priorities ,
Financial Markets ,
Italy ,
Securities Litigation ,
Strategic Enforcement Plan ,
Tax Cuts and Jobs Act ,
UK
This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the third quarter of 2017 that may be of interest to Latin American corporations and...more
11/29/2017
/ Annual Reports ,
Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
EU Prospectus Regime ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Initial Public Offering (IPO) ,
Latin America ,
Mergers ,
MiFID II ,
PSLRA ,
Securities Settlement Cycles ,
Tax Evasion ,
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
This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the second quarter of 2017 that may be of interest to Latin American corporations.
...more
8/9/2017
/ Capital Markets Union ,
CONSOB ,
Corporate Governance ,
EU Market Abuse Regulation (EU MAR) ,
JOBS Act ,
Kokesh v SEC ,
Listing Standards ,
Non-GAAP Financial Measures ,
Person with Significant Control (PSC Register) ,
Reporting Requirements ,
Securities Litigation
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
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
7/19/2017
/ Anti-Money Laundering ,
CONSOB ,
Corporate Governance ,
EMIR ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Hong Kong ,
JOBS Act ,
Listing Standards ,
Non-GAAP Financial Measures ,
Prospectus ,
Reporting Requirements ,
Securities Litigation ,
Third Country Entities (TCEs) ,
UK
This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the first quarter of 2017 that may be of interest to Latin American corporations and...more
5/31/2017
/ Beneficial Owner ,
Compliance ,
Corporate Governance ,
Foreign Corrupt Practices Act (FCPA) ,
Pay Gap ,
Risk Management ,
Securities Settlement Cycles ,
Shareholder Rights ,
Stock Connect ,
Transparency ,
Unique Transaction Identifiers ,
XBRL Filing Requirements