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Hong Kong Market Misconduct Tribunal (MMT) bans Tiger Asia Management LLC (Tiger Asia) and Bill Hwang Sung Kook (Mr Hwang) from trading securities in Hong Kong

  • Herbert Smith Freehills LLP
  • -
  • Hong Kong
  • -
  • October 22 2014

The MMT on 7 October 2014 made “cold shoulder orders” and “cease and desist orders” against New York-based asset management company, Tiger Asia, and

Shareholder Rights Directive II is it on your radar?

  • Clifford Chance LLP
  • -
  • European Union
  • -
  • October 22 2014

Earlier this year the Commission published a proposal to amend the 2007 Shareholder Rights Directive (the Directive). Both the original Directive and

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

Just in time for 2015 proxy season: disclosure requirements for gender diversity, director tenure

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • October 21 2014

On October 15, 2014, the securities regulatory authorities of Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia

Financial Services Regulatory Group bulletin - October 2014

  • McCann FitzGerald
  • -
  • European Union, Ireland, Russia
  • -
  • October 21 2014

The global payments sector continues to evolve, driven by technological advances and changing consumer preferences. The provision of payment services

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

ESMA consults on RTS for the clearing of foreign exchange non-deliverable forwards

  • Eversheds LLP
  • -
  • European Union
  • -
  • October 21 2014

The European Securities and Markets Authority (ESMA) has published a consultation on draft Regulatory Technical Standards (RTS) for the central

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

ESMA publishes final draft RTS for central clearing of interest rate swaps under EMIR

  • Eversheds LLP
  • -
  • European Union
  • -
  • October 21 2014

The European Securities and Markets Authority (ESMA) has published a report containing final draft Regulatory Technical Standards (RTS) for the