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Capital Markets Internal Controls

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Regulatory Update - March 2024

查看中文 This update provides an overview of key regulatory developments in the fourth quarter of 2023 relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx) and their advisers....more

A&O Shearman

UK Corporate Governance Code Guidance – smarter regulation

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Yesterday saw the publication of the Financial Reporting Council’s (the FRC) guidance to the UK Corporate Governance Code (the Guidance). See our bulletin from last week on the revised UK Corporate Governance Code (the...more

Mayer Brown

HKEX Annual Review Reiterates Concerns Over Issuers' Deficiencies In Internal Controls

Mayer Brown on

The annual Hong Kong Stock Exchange (HKEX) review of Issuers’ Annual Reports (Review) for 2022 found that deficiencies in internal controls remained a common underlying reason for modification of audit opinion by auditors and...more

A&O Shearman

New UK Corporate Governance Code: carefully choreographed

A&O Shearman on

Today saw the publication by the Financial Reporting Council (FRC) of its revised corporate governance code (the Code). Whilst the updated Code contains a limited set of targeted changes, as opposed to a broader wholesale...more

Fenwick & West LLP

Late-Stage GC Insights: Navigating the Road to an IPO

Fenwick & West LLP on

Fenwick corporate partner Ran Ben-Tzur recently led a small group discussion, “How can GCs identify, prepare for, and respond to pitfalls on the road to IPO?” at TechGC’s IPO Conference held in San Francisco. Below are some...more

Morgan Lewis

SEC Releases Draft Strategic Plan for Fiscal Years 2022 to 2026

Morgan Lewis on

The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. The Strategic Plan sets forth the following three key goals for the Securities and...more

BCLP

Banking Bites - July 2022

BCLP on

Welcome to Banking Bites! This is our short summary flagging key developments in the UK that we hope will inform your activities in your market. This edition covers...more

Perkins Coie

SEC Speaks Out on SPACs

Perkins Coie on

When a significant volume of capital is raised from investors through nontraditional capital markets transactions, the U.S. Securities and Exchange Commission (SEC) is sure to follow with increased scrutiny. The SEC made that...more

Sullivan & Worcester

SEC Provides Additional Disclosure Considerations for Companies Impacted by Coronavirus (COVID-19) as the End of the Second...

Sullivan & Worcester on

On June 23, 2020, the SEC issued new guidance for companies’ disclosure considerations regarding operations, liquidity and capital resources in light of COVID-19. The guidance, which largely reiterates similar themes as the...more

Troutman Pepper

To IPO, Or Not to IPO, That Is the Question - How to prepare for and execute a successful public offering

Troutman Pepper on

More than ever, life sciences companies are going public to raise capital for future growth. In fact, U.S. equity financing in life sciences skyrocketed to a record $7 billion in 2018—a 69 percent jump over the year before. ...more

Morrison & Foerster LLP

News Round Up - January 2017

Looking Ahead... We write this as a new administration looks to make its mark with an agenda that was premised on promoting capital formation by easing regulatory burdens. Once a new chair of the Securities and Exchange...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Katten Muchin Rosenman LLP

Bridging the Week - March 2015 #2

FCA Sanctions Bank of Beirut, Former Compliance Officer and Former Internal Auditor for Providing Misleading Information Regarding AML Systems and Controls Remediation - The Bank of Beirut was fined GBP 2.1 million...more

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