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Financial Regulatory Developments 24 April - European Commission (Commission)

  • Dentons
  • -
  • European Union
  • -
  • April 24 2015

Jonathan Hill has spoken on the Capital Markets Union (CMU). He covered: the change in direction and pace of the new Commission, with a focus on

New SEC rules allow private companies access to larger amounts of capital (Regulation A)

  • Burns & Levinson LLP
  • -
  • USA
  • -
  • April 24 2015

Many companies should be able to take advantage of new SEC rules that will permit them to sell up to $50 million of securities to investors in a

Financial Regulatory Developments 24 April - Official Journal of the European Union (OJEU)

  • Dentons
  • -
  • European Union
  • -
  • April 24 2015

A Delegated Regulation to supplement the Regulatory Technical Standards (RTS) on specification of margin periods of risk has been published in the

Financial Regulatory Developments 24 April - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 24 2015

FCA has fined Merrill Lynch International £13,285,900 for transaction reporting failures. It found that over a seven-year period the firm incorrectly

Financial Regulatory Developments 24 April - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • April 24 2015

ESMA has issued a call for evidence on investments using virtual currency or distributed ledger technology. It is asking stakeholders how virtual

Why is ASIC interested in you?

  • Carter Newell
  • -
  • Australia
  • -
  • April 24 2015

If you are a company director, company secretary, chief financial officer or a licensee or representative in the credit or financial services

Screening secondary market liability actions: the Supreme Court raises the bar for plaintiffs

  • McCarthy Tétrault LLP
  • -
  • Canada
  • -
  • April 23 2015

On April 17, 2015, the Supreme Court of Canada (SCC) rendered its opinion in Theratechnologies inc. v. 121851 Canada inc., 2015 SCC 18

SCC confirms leave test for securities class actions has teeth

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • April 23 2015

On April 17, 2015, the Supreme Court of Canada provided Canadian public companies with an important win, holding that the test for leave to start a

SEC rules expand access to capital via larger private offerings (Regulation A)

  • Burns & Levinson LLP
  • -
  • USA
  • -
  • April 23 2015

On March 25, 2015, the Securities and Exchange Commission (“SEC”) issued new rules that will enable private companies to raise as much as $50 million

SEC announces Dodd-Frank whistleblower award for compliance professional

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • April 23 2015

On Wednesday, April 22nd, the Securities and Exchange Commission announced that it had awarded approximately $1.5 million to a whistleblower who had