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Results: 1-10 of 40,708

Proposals to enhance regulatory safeguards for investors in the capital markets

  • Drew & Napier LLC
  • -
  • Singapore
  • -
  • September 1 2014

The Monetary Authority of Singapore (“MAS”) published a consultation paper on proposals to enhance its regulatory framework for safeguarding

Retail corporate bonds made simpler

  • King & Wood Mallesons
  • -
  • Australia
  • -
  • September 1 2014

A bill amending the Corporations Act which will make the process of issuing bonds to retail investors simpler has now passed through both Houses of

Public company restatements have fallen sharply since SOX

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

Academic research commissioned by the Center for Audit Quality finds that the number of restatements of financial statements filed with the SEC has

Council of Institutional Investors reiterates request for audit partners to sign audit reports

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

According to an August 13, 2014 New York Times DealBook column entitled "Once Powerful, Mary Jo White's S.E.C. Is Seen as Sluggish and Ineffective,"

SEC files enforcement action based on internal control problems

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

On July 30, the SEC announced the filing of administrative actions against the CEOChairman and against the former CFO of QSGI, Inc., alleging that

SEC sends an internal control “wake-up call” to companies in high risk markets

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

On July 28, the SEC announced the settlement of an administrative action against Smith & Wesson, a firearms manufacturer. The gist of the case is

Regulation 43-101 qualified person : need to be a member of the Quebec Order of Geologists?

  • Lavery de Billy LLP
  • -
  • Canada
  • -
  • August 31 2014

Can a geologist registered in the State of Wyoming who is a member of the American Institute of Professional Geologists approve scientific or

The rise of foreign issuer IPOs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • August 29 2014

Foreign issuer IPOs have been increasing recently as foreign issuer activity continues to improve since a marked decline in 2011 and 2012. This

Financial Regulatory Developments 29 August - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • August 29 2014

ESMA has published its opinion on how it expects national regulators to apply the modifications to the guidelines on money market funds (MMF) which

Financial Regulatory Developments 29 August - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 29 2014

PRA has published its statements of supervisory policy (SSPs) on: subordinated guarantees and use of capital. This statement sets out PRA's