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Results: 1-10 of 24,267

Small business securities bulletin: recent SEC enforcement actions impact compliance landscape

  • Ober Kaler
  • -
  • USA
  • -
  • October 21 2014

There was not a lot of Securities and Exchange Commission (SEC) activity this past Spring and Summer that was directly relevant to most small and

Mortgage-backed securities: “it is the rare ordinary human being who understands them”

  • Pepper Hamilton LLP
  • -
  • USA
  • -
  • October 21 2014

A purchaser of residential mortgage-backed securities filed proofs of claim based on alleged misrepresentations by the debtors in offering materials

FINRA addressing market risks: HFT, Algo’s, CARDS, CAT & dark pools

  • Burr & Forman LLP
  • -
  • USA
  • -
  • October 21 2014

Carlo DiFlorio, FINRA's Chief Risk Officer and Head of Strategy, told the annual meeting of the National Society of Compliance Professionals Monday

ISS publishes 2015 draft policy changes; comments due by October 29, 2014

  • Shearman & Sterling LLP
  • -
  • USA
  • -
  • October 21 2014

On October 15, 2014, Institutional Shareholder Services Inc. ("ISS") published its key draft policy changes for the 2015 proxy season. There are only

International regulatory update - 13 17 October 2014

  • Clifford Chance LLP
  • -
  • China, European Union, France, Germany, South Korea, Thailand, United Kingdom, USA
  • -
  • October 21 2014

The EU Commission has adopted a Delegated Regulation under the Short Selling Regulation (SSR) which corrects Commission Delegated Regulation (EU) No

SEC announces first-ever market manipulation case against high-frequency trading firm

  • White & Case LLP
  • -
  • USA
  • -
  • October 21 2014

On October 16, 2014, the US Securities and Exchange Commission (SEC) announced a settlement in the amount of US$1 million with Athena Capital

Taking aim the SEC’s continued focus on hedge funds

  • McGuireWoods LLP
  • -
  • USA
  • -
  • October 20 2014

"It is difficult to overstate how much the regulatory landscape for hedge fund managers has changed over the past four years." So said Norm Champ

ISS proposes new methodology for evaluating equity plan proposals

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 20 2014

A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan. Accoding to ISS, while

Highlights of selected recent public company issues

  • Nelson Mullins Riley & Scarborough LLP
  • -
  • USA
  • -
  • October 20 2014

The third quarter of 2014 brought a reminder that registrants must take care when considering disclosure in MD&A relating to “known uncertainties.”

Who knew what when: US class action analyzes corporate knowledge of wrongdoing

  • Osler Hoskin & Harcourt LLP
  • -
  • USA
  • -
  • October 20 2014

A US appeals court has dismissed a proposed securities fraud class action, clarifying when a corporation will be deemed to make misstatements