It is now time for a large number of foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S. Securities and Exchange Commission...more
1/10/2017
/ Annual Reports ,
Conflict Mineral Rules ,
Cuba ,
Filing Requirements ,
Foreign Private Issuers ,
Iran Sanctions ,
Joint Comprehensive Plan of Action (JCPOA) ,
Non-GAAP Financial Measures ,
Presidential Elections ,
Resource Extraction ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
UK Brexit
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
In this issue:
- Financial Reporting: Commission Delegated Regulations on Equivalence of Certain Third Country National GAAPs to IFRS
- Proxy Advisers: ESMA Consultation on Best Practise Principles for Voting...more
7/15/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Alternative Investment Funds ,
Annual Reports ,
Conflict Mineral Rules ,
Corporate Governance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Markets ,
Financial Reporting ,
Japan ,
Money Laundering ,
New Guidance ,
Proxy Advisors ,
Regulatory Standards ,
Related Parties ,
Securities ,
Securities and Exchange Commission (SEC) ,
Small Business
On April 22, 2015, two human rights non-governmental organizations, Amnesty International and Global Witness, published a report, Digging for Transparency (the “Report”), analyzing compliance by US reporting companies with...more
On April 29, 2014, the SEC Division of Corporation Finance (the “Division”) issued a statement on the effect of a recent decision by the US Court of Appeals for the District of Columbia Circuit (the “Court”) on the SEC’s...more
On April 7, 2014, the SEC Division of Corporation Finance (the Division) issued responses to nine frequently asked questions (FAQs) on the reporting requirements regarding conflict minerals originating in the Democratic...more
In this issue:
- EU Developments
- German Developments
- UK Developments
- Us Developments
- Excerpt from EU Developments -
European Commission Proposes to Introduce Shareholder "Say...more
4/11/2014
/ Anti-Corruption ,
Audits ,
Capital Markets ,
Chadbourne & Parke LLP v Troice ,
Conflict Mineral Rules ,
Corporate Governance ,
Corporate Sales Transactions ,
Cybersecurity ,
DaimlerAG ,
Department of Justice (DOJ) ,
Diversity ,
Employee Benefits ,
Financing ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton ,
Information Technology ,
Institutional Shareholder Services (ISS) ,
Iran Sanctions ,
Limited Liability Company (LLC) ,
Office of Foreign Assets Control (OFAC) ,
Prospectus ,
Proxies ,
Public Disclosure ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Shareholders ,
Ukraine ,
WKSIs
On July 23, 2013, the US District Court for the District of Columbia found “no problems with the SEC’s rulemaking” by its adoption of the Conflict Minerals Rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform...more