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Results: 11-20 of 31,099

CESR updates MiFID FAQs

  • Dentons
  • -
  • European Union
  • -
  • January 9 2009

CESR has published an update of the common positions its members have taken on certain aspects of MiFID

Failure to timely file SEC reports is not a default under certain indenture reporting covenants

  • White & Case LLP
  • -
  • USA
  • -
  • January 13 2009

Companies that have issued or plan to issue debt securities are facing an unusual confluence of circumstances: a severely discounted secondary debt market combined with an increasing level of internal corporate investigation activity resulting from, among other things, requirements imposed by the Sarbanes-Oxley Act

Cornerstone Report: securities class action filings soar in 2008 due to an increase in filings against financial services firms

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • January 15 2009

Cornerstone Research, in cooperation with Stanford Law School's Securities Class Action Clearinghouse, recently released its report on federal securities class action filings in 2008

FSA lifts short selling ban

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • January 16 2009

We reported last week that the FSA was consulting on whether to lift its ban on short selling of stocks in financial companies and certain amendments to the disclosure rules in connection with short positions

Massachusetts brings enforcement action against Reserve Fund

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 14 2009

Yesterday, the Enforcement Section of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth filed an enforcement action against multiple parties affiliated with the Reserve Primary Fund (the "Fund") in connection the Fund “breaking the buck” in September of last year

CESR calls for evidence on short selling

  • Dentons
  • -
  • European Union
  • -
  • January 9 2009

CESR's new task force on short selling is calling for views on practical issues arising from the emergency short selling regulations

SGX Chief Executive signals a move towards greater sustainability

  • Colin Ng & Partners LLP
  • -
  • Singapore
  • -
  • April 16 2013

In a keynote speech delivered by the SGX Chief Executive, Magnus Bocker, at the environmental, social and governance ("ESG") summit RI Asia 2013 on

Broker’s scheme to profit from trading Apple ends in DOJSEC charges

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 16 2013

Broker David Miller did not have inside information about the Apple earnings call scheduled for October 25, 2012. He did have something else - plans

Deadline approaches for amending compensation committee charters

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • April 16 2013

By July 1, affected companies must comply with recent amendments to the Listing Rules of the New York Stock Exchange (NYSE) and the NASDAQ Stock

FSA publishes COBS review findings

  • Dentons
  • -
  • United Kingdom
  • -
  • January 9 2009

FSA has carried out a post-implementation review of COBS

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