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Results: 1-10 of 36

Investors in municipal bonds sufficiently pleaded scienter

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 29 2009

The U.S. District Court for the Northern District of California held that scienter was sufficiently pleaded in a proposed counterclaim set forth by investors in municipal bond notes against the issuing city and its underwriter

Court orders disclosure of venture capital fund performance

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • February 8 2013

California's analog to the Freedom of Information Act is the Public Records Act, Government Code 6250 et seq. In enacting the the Public

FOIA High Court decision on disclosure of confidential information by a regulator

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • July 17 2009

In Financial Services Authority v Information Commissioner 2009 EWHC 1548 (Admin) the High Court considered whether information requested from the FSA under the Freedom of Information Act 2000 ("FOIA") was protected from disclosure by virtue of the provisions on confidential information in s.348 Financial Services and Markets Act 2000 ("FSMA"

Ohio public funds sue credit-rating agencies over losses

  • Alston & Bird LLP
  • -
  • USA
  • -
  • November 22 2009

On Friday, the attorney general of Ohio, on behalf of the Ohio Police & Fire Pension Fund, the Ohio Public Employees Retirement System, the State Teachers Retirement System of Ohio and other public funds, filed suit against the credit-rating agencies Standard & Poor’s, Moody’s and Fitch in the U.S. District Court for the Southern District of Ohio

Reasonable or unreasonable - if the regulator asks for it...

  • Cassels Brock & Blackwell LLP
  • -
  • Canada
  • -
  • February 3 2010

The Investment Dealers' Association (IDA), now Investment Industry Regulatory Organization of Canada (IIROC), investigated Golden Capital, an investment dealer, for the failure of three of its employees to identify the beneficial owners of securities being traded in investment accounts

This week in securities litigation (October 29, 2010)

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • October 29 2010

SEC Enforcement had another "first" this week, imposing civil penalties on city officials in connection with municipal securities offerings

SLUSA's state-actions exception

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 8 2010

On February 3rd, the Sixth Circuit, in an opinion written by retired Associate Supreme Court Justice Sandra Day O'Connor (sitting by designation), strictly construed the state-actions exception to the Securities Litigation Uniform Standards Act("SLUSA"

Second Circuit upholds 101 annual interest rate on Argentine bonds

  • Schulte Roth & Zabel LLP
  • -
  • Argentina, USA
  • -
  • September 30 2010

On September 23, 2010, the U.S. Court of Appeals for the Second Circuit upheld an annual interest rate of 101 (based on an interest rate formula) owed on Argentine government bonds

Reference re Securities Act (Canada)

  • WeirFoulds LLP
  • -
  • Canada
  • -
  • April 19 2011

A unanimous Reference decision of the Alberta Court of Appeal held that Parliament’s proposed Securities Act (“Act”) to establish a national securities regulator is unconstitutional; specifically, the five-member panel found that the proposed Act is ultra vires Parliament’s authority pursuant to the Constitution Act, 1867

Supreme Court of Canada to consider constitutional validity of national securities regulator

  • Lawson Lundell LLP
  • -
  • Canada
  • -
  • April 7 2011

On April 13-14, 2011, the Supreme Court of Canada will hear a reference involving a show down between the federal government and various provincial governments over the question of whether the proposed new national securities regulator is constitutionally valid

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