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
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
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, 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
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
On 20 September 2017, the European Commission made proposals to strengthen the regulatory and supervisory powers of the three European Supervisory Agencies (ESAs) namely the European Securities and Markets Authority (ESMA),...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
10/24/2017
/ EU ,
European Securities and Markets Authority (ESMA) ,
Financial Reporting ,
Hyperlink ,
Initial Public Offering (IPO) ,
Listing Standards ,
Person with Significant Control (PSC Register) ,
Securities Litigation ,
Takeover Code ,
UK ,
UK Brexit
On 30 June 2017, a new EU prospectus regulation (the “New Prospectus Regulation”) was published in the Official Journal of the European Union. The New Prospectus Regulation will, through a phased implementation, repeal and...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
4/24/2017
/ Cadbury ,
EU ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
IFRS ,
Insider Trading ,
Non-GAAP Financial Measures ,
Prospectus ,
Securities Settlement Cycles ,
Shareholder Rights ,
Unique Transaction Identifiers ,
XBRL Filing Requirements
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
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
In this issue:
- Directive Regarding Disclosure of Non-Financial and Diversity Information Published in Official Journal
- ESMA Publishes Transparency Directive Consultation on European Electronic Access Point...more
2/2/2015
/ Audits ,
Board of Directors ,
Bureau of Industry and Security (BIS) ,
CONSOB ,
Corporate Governance ,
Ethics ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Internal Controls ,
Market Participants ,
MiFID ,
Securities ,
Technical Standards ,
Voting Rights
In this issue:
- Japan Releases Exposure Draft of New Corporate Governance Code
- Launch of Shanghai-Hong Kong Stock Connect
- SEC and NYSE Developments
- Noteworthy US Securities Law Litigation...more
1/29/2015
/ Bureau of Industry and Security (BIS) ,
Compensation & Benefits ,
Corporate Governance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
EU Directive ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Markets ,
Hong Kong Stock Exchange ,
Japan ,
NYSE ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Shanghai Stock Exchange ,
UK
In this issue:
- Asia DEVELOPMENT
- HKEx Releases Concept Paper on Weighted Voting Rights
- US DEVELOPMENTS
- SEC Developments
- Noteworthy US Securities Law Litigation
- Recent...more
10/16/2014
/ Asia ,
Compliance ,
Department of Justice (DOJ) ,
Enforcement ,
Enforcement Actions ,
EU ,
European Merger Control Regulation ,
European Securities and Markets Authority (ESMA) ,
Financial Regulatory Reform ,
HKEx ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Voting Rights
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:
- EU DEVELOPMENTS
- Statutory Audit Directive and Regulation Published in Official Journal
- Council Adopts Intra-Corporate Transferees Directive
- ESMA Publishes Consultation and...more
7/14/2014
/ Audits ,
Corporate Governance ,
Corporate Social Responsibility ,
Derivatives ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
MiFID ,
Over The Counter Derivatives (OTC) ,
Prospectus ,
Shareholder Rights ,
Shareholders
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:
- EU Developments
- Opinion on ESMA’s Powers under the Short Selling Regulation
- ESMA Publishes Third Country Advice on Equivalence
- ESMA Consults on the Clearing...more