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Results: 1-10 of 328

Do not attempt to interfere with potential whistleblowing, SEC warns
  • McMillan LLP
  • Canada, USA
  • November 12 2014

Earlier in 2014, Sean McKessy, Chief of the Office of the Whistleblower of the United States Securities and Exchange Commission (the "SEC" or


Shanghai-Hong Kong Stock Connect
  • McMillan LLP
  • China, Hong Kong
  • November 20 2014

There has been much media coverage on the new Shanghai-Hong Kong Stock Connect scheme, known as the “through train” in colloquial Chinese, that will


CSA finalizes changes to regulatory framework for registrants
  • McMillan LLP
  • Canada
  • October 31 2014

On October 16, 2014 the Canadian Securities Administrators published final changes to the regulatory framework for registrants. The amendments to


CSA conducts review of proxy voting infrastructure
  • McMillan LLP
  • Canada
  • August 28 2013

The Canadian Securities Administrators (CSA) have issued CSA Consultation Paper 54-401 (the Consultation Paper) to seek input from stakeholders on


U.S. Court of Appeals rules SEC conflict minerals disclosure requirement unconstitutional
  • McMillan LLP
  • Canada, USA
  • May 12 2014

On April 14, 2014, the U.S. Court of Appeals for the District of Columbia Circuit ruled that the U.S. Securities and Exchange Commission (the "SEC"


Proxy advisory firm regulation Canadian Securities Administrators propose guidance, not rules
  • McMillan LLP
  • Canada, USA
  • May 5 2014

The Canadian Securities Administrators (CSA) have released for comment proposed National Policy 25-201 Guidance for Proxy Advisory Firms (the


Canada introduces law requiring extractive companies to publicly disclose payments to foreign governments
  • McMillan LLP
  • Canada
  • June 21 2013

Prime Minister Stephen Harper announced on June 12, 2013 that Canada has committed to adopting a G8 initiative establishing a mandatory


The CSA proposes amendments to National Instrument 33-105 Underwriting Conflicts
  • McMillan LLP
  • Canada
  • December 13 2013

On November 29, 2013, the Canadian Securities Administrators (the "CSA") published for comment proposed amendments to National Instrument 33-105


OSC provides guidance on disclosure of forward-looking information
  • McMillan LLP
  • Canada
  • July 3 2013

The Ontario Securities Commission (the "OSC") has issued OSC Staff Notice 51-721 Forward-Looking Information Disclosure (the "Notice") which


Phase 2 of the modernization of investment funds project alternative funds framework and extension of comment period
  • McMillan LLP
  • Canada
  • July 5 2013

On March 27, 2013 the CSA published proposed changes to the regulatory regime governing investment funds pursuant to Phase 2 of its Modernization of