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Results: 1-10 of 32

ABI guidance on share allotment authorities, BERR consultation on notice periods for meetings, FSA clarifies disclosure requirements

  • Dorsey & Whitney LLP
  • -
  • United Kingdom
  • -
  • January 20 2009

The Association of British Insurers (ABI) has recently issued new guidance on the extent of the general allotment authority (under s.80, Companies Act 1985) which it regards as acceptable for listed companies

Shareholder meetings - some important changes

  • Dorsey & Whitney LLP
  • -
  • United Kingdom
  • -
  • August 28 2009

The Shareholder Rights Directive ("Directive") was implemented in the UK with effect from 3 August 2009

Fine for corrupt city stockbroker

  • Dorsey & Whitney LLP
  • -
  • United Kingdom
  • -
  • July 23 2010

Simon Eagle, a former city stockbroker was given a £2.8 million fine for his part in a share ramping scheme

A comparative regulatory guide to listing in Hong Kong, London, New York and Toronto

  • Dorsey & Whitney LLP
  • -
  • Canada, Hong Kong, United Kingdom, USA
  • -
  • February 10 2010

There are two listing standards for NYSE: the Non-U.S. Standards for non-U.S. companies (which is further subdivided into two sets of standards worldwide and domestic under which non-U.S. companies may qualify for listing) and the U.S. Standards for domestic companies

HSBC new stamp duty GLO

  • Dorsey & Whitney LLP
  • -
  • European Union, United Kingdom
  • -
  • June 2 2010

On 1 October 2009 the ECJ decision in HSBC Holdings plc, Vidacos Nominees Ltd v HM Revenue & Customs that held that the 1.5 charge to SDRT when securities were issued through clearance services where no charge would otherwise be imposed was a breach to EU Law

This week in securities litigation (February 4, 2011)

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • February 4 2011

Dodd-Frank, insider trading and the FCPA continue were key to securities regulation and enforcement this week

The UK’s Bribery Act of 2010: the obligations and risks it imposes on US employers with business in the UK

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • February 21 2011

The UK Bribery Act is expected to come into force shortly

FSA bans two hedge fund managers from securities business

  • Dorsey & Whitney LLP
  • -
  • United Kingdom
  • -
  • August 17 2011

The FSA has banned the former CEO and CFO of a collapsed hedge fund from the securities business and imposed significant fines on each as a result of their manipulative and deceptive conduct as the fund collapsed

Former Innospec Inc executive charged

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • November 18 2011

Former Innospec Inc executive, Dr David Turner, was charged at a London court for allegedly bribing Iraqi and Indonesian officials between 2002 and 2008 to secure government contracts

This week in securities litigation (September 16, 2011)

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • September 16 2011

As the week drew to a close, reports surfaced of a rogue trader who had run up $2 billion in trading losses at UBS in London while the SEC reportedly is expanding its market crisis probe