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Results: 1-10 of 138

AIM-ing across the pond

  • Cobbetts LLP
  • -
  • United Kingdom, USA
  • -
  • January 21 2009

International OTCQX (Over the Counter Quality and Excellence) aims to provide a cost-effective means for international companies that are already listed on a Qualified Foreign Stock Exchange to develop a presence in the U.S. securities markets

US class action: should trustees be doing anything?

  • Wragge & Co LLP
  • -
  • United Kingdom, USA
  • -
  • May 21 2007

Many UK pension schemes hold US equities either directly or indirectly (for example, in pooled funds

FSA and SEC discuss approaches to global regulatory requirements

  • Norton Rose LLP
  • -
  • United Kingdom, USA
  • -
  • September 24 2009

The FSA has announced that its Chief Executive, Hector Sants, and Mary Shapiro, chairman of the US Securities and Exchange Commission (SEC), will explore approaches to reporting and other regulatory requirements for key market participants such as hedge funds and their advisers

US, UK seek consensus on financial, fund regulations

  • White & Case LLP
  • -
  • United Kingdom, USA
  • -
  • September 30 2009

US Securities and Exchange Commission (SEC) Chairman Mary Schapiro and UK Financial Services Authority (FSA) Chief Executive Hector Sants said on September 16 that the agencies would seek common approaches to financial regulatory requirements and reporting, particularly for hedge funds and their advisers

Contentious and regulatory issues in 2008

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • April 14 2008

Litigation is growing in England, as it is in the US, as investors and counterparties seek to recover losses sustained in the credit crunch

Telephone taping and capturing electronic communications: obligations for UK firms; US implications and perspectives

  • Cadwalader Wickersham & Taft LLP
  • -
  • United Kingdom, USA
  • -
  • March 17 2008

The UK Financial Services Authority (FSA) has now published its final rules requiring certain of its authorized firms to record and keep telephone and electronic communications

Takeover offers for English companies with U.S. shareholders: some considerations for bidders

  • Jones Day
  • -
  • United Kingdom, USA
  • -
  • July 3 2007

This Commentary considers some of the legal and regulatory issues that arise when a securities exchange offer is made for an English target company that has a substantial shareholder base or a secondary listing in the United States

SEC brings action against UK hedge fund (HF)

  • Sutherland Asbill & Brennan LLP
  • -
  • United Kingdom, USA
  • -
  • July 10 2007

The SEC settled enforcement actions against London-based hedge fund adviser GLG Partners, L.P. for illegal short selling in connection with 14 public offerings

SEC and FSA to cooperate on hedge fund regulatory requirements

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom, USA
  • -
  • September 18 2009

Securities and Exchange Commission Chairman Mary Schapiro and UK Financial Services Authority (FSA) Chief Executive Officer Hector Sants announced that their respective agencies will explore common approaches to reporting and other regulatory requirements for market participants, including hedge funds and their advisors

FSA and CFTC agree new MoU

  • Dentons
  • -
  • United Kingdom, USA
  • -
  • September 18 2009

FSA and CFTC have signed a new MoU on supervision of cross-border clearing organisations

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