Hudson v Hathway [2023] 2 W.L.R. 1227 ([2022]EWCA Civ 1648) is, even to a M&A lawyer such as myself, a particularly interesting case, despite being: (i) being decided at the end of last year, rather than just last week (my...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 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
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 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 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 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
The European Commission, as part of its Capital Markets Union action plan and its commitment to simplify and harmonize EU laws, on November 30, 2015 adopted a proposal for a new prospectus regulation, intended to replace the...more
The European Commission, as part of its Capital Markets Union action plan and its commitment to simplify and harmonize EU laws, on November 30, 2015 adopted a proposal for a new prospectus regulation, intended to replace the...more
In this issue:
- SEC Developments
- Noteworthy US Securities Law Litigation
- Recent SEC/DOJ Enforcement Matters
- Executive Compensation & Employee Benefits Developments
- Adoption of...more
In this issue:
- Adoption of Action Plan on Company Law and Corporate Governance
- European Commission Green Paper: Building a Capital Markets Union
- European Commission Publishes Consultation Paper on...more
4/21/2015
/ Capital Markets ,
Corporate Governance ,
Department of Justice (DOJ) ,
Diversity ,
Enforcement Actions ,
EU ,
European Commission ,
Germany ,
Prospectus ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Stock Corporations
On 18 February 2015, the European Commission published a green paper on building a Capital Markets Union, alongside two complementary consultation papers on a revised EU framework for securitisation and a review of the...more
In this issue:
- EU DEVELOPMENTS
- European Commission Launches Public Consultation on Proposals to
- Improve EU Merger Control
- ESMA Publishes Final Guidelines on Enforcement of Financial...more
In this issue:
- ASIAN DEVELOPMENTS
- HKEx Publishes Revised Connected Transaction Rules
- US DEVELOPMENTS
- SEC Developments
- PCAOB Adopts Auditing Standard and Amendments
-...more
7/16/2014
/ Asia ,
Audits ,
Corporate Social Responsibility ,
Department of Justice (DOJ) ,
Employee Benefits ,
Enforcement ,
Enforcement Actions ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
HKEx ,
MiFID ,
Over The Counter Derivatives (OTC) ,
PCAOB ,
Securities and Exchange Commission (SEC) ,
UK
In this issue:
- ASIAN DEVELOPMENTS
- HKEx publishes Amended Listing Rules to Complement the New IPO Sponsor Regime
- US DEVELOPMENTS
- SEC Developments
- Noteworthy US Securities Law...more
10/22/2013
/ Corporate Governance ,
Department of Justice (DOJ) ,
EMIR ,
Enforcement Actions ,
Equivalency Determinations ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Initial Public Offering (IPO) ,
IPO Sponsors ,
PCAOB ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Short Sales ,
Swap Clearing
In this issue:
ASIAN DEVELOPMENTS -
- HKEx Launches Consultation on Reform of Connected Transaction Rules
US DEVELOPMENTS -
- SEC Developments
- Noteworthy US Securities Law...more
7/16/2013
/ China ,
Department of Justice (DOJ) ,
EMIR ,
Employee Benefits ,
Employer Mandates ,
Enforcement Actions ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation
In This Issue:
- EU DEVELOPMENTS
..European Securities and Markets Authority (“ESMA”) Publishes an Update of the Committee of European
Securities Regulators (“CESR”) Recommendations Regarding Mineral...more