This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the third quarter of 2020 that may be of interest to Latin American corporations and...more
This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the second quarter of 2020 that may be of interest to Latin American corporations and...more
In this newsletter, we provide a snapshot of the principal European, U.S., U.K. and selected international governance and securities law developments of interest to European corporates.
...more
This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the first quarter of 2020 that may be of interest to Latin American corporations and...more
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 July 2019.
...more
10/18/2019
/ AML/CFT ,
Corporate Issuers ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Regulatory Reform ,
Global Marketplace ,
Member State ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions
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 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 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
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 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, 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
On Monday, June 5, 2017, a unanimous Supreme Court held that the ability of the Securities and Exchange Commission (“SEC”) to seek disgorgement in connection with a violation of federal securities law is subject to a...more
The Securities and Exchange Commission (the SEC or the Commission) brought over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which...more
7/20/2016
/ Administrative Proceedings ,
Books & Records ,
Broker-Dealer ,
Chief Compliance Officers ,
Cooperation ,
Corporate Counsel ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Enforcement Statistics ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Investment Adviser ,
Municipal Bonds ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
The Securities and Exchange Commission (the SEC or the Commission) filed a record 807 enforcement actions in fiscal year 2015, 52 more than it filed in 2014. It also set a record by obtaining approximately $4.2 billion in...more
In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
10/19/2015
/ AIM ,
Capital Markets ,
Corporate Governance ,
Department of Justice (DOJ) ,
Digital Single Market ,
Enforcement Actions ,
EU ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Israel ,
Limited Partnerships ,
London Stock Exchange ,
Market Manipulation ,
MiFID II ,
Nasdaq ,
NYSE ,
Private Equity ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Shareholder Rights ,
Transparency ,
UK
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
10/13/2015
/ Alternative Investment Funds ,
Corporate Governance ,
Enforcement Actions ,
EU ,
EU Directive ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Reporting ,
Germany ,
London Stock Exchange ,
NYSE ,
OECD ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholder Rights ,
Transparency ,
UK
In this issue:
- HKEx Publishes Consultation Conclusions on Weighted Voting Rights
- Corporate Governance Reforms in Japan
- SEC and NYSE/Nasdaq Developments
- Sanctions Round-Up
- Noteworthy US...more
7/20/2015
/ Asia ,
China ,
Conflict Mineral Rules ,
Corporate Governance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Reporting ,
Proxy Advisors ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
UK ,
Voting Rights