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Results: 1-10 of 61,481

Broker-dealer beat
  • Proskauer Rose LLP
  • USA
  • May 27 2015

FINRA has published updated and revised Sanction Guidelines that, among other things, highlight the SRO's position that penalties in disciplinary


Infrastructure company listings on the Philippine Stock Exchange
  • Paul Hastings LLP
  • Philippines
  • May 27 2015

Exchange may consider waiver of profitability requirement for infrastructure IPOs Rules for petroleum and renewable energy companies serve as


Financial advice regime under review
  • Chapman Tripp
  • New Zealand
  • May 26 2015

The regime created by the Financial Advisers Act and the Financial Service Providers (Registration and Dispute Resolution) Act, both of which were


The SEC explains its rationale in forum selection in contested cases
  • Barnes & Thornburg LLP
  • USA
  • May 26 2015

Our post last week explained the background behind the growing concern regarding the potential home-court advantage the SEC may have in contested


ICMA publishes updated model sovereign bond clauses
  • Morgan Lewis & Bockius LLP
  • Global
  • May 26 2015

On May 11, the International Capital Market Association (ICMA) published a revised version of its model collective action clauses (CACs) for


SEC proposes rules to modify reporting regime for registered investment companies and investment advisers
  • Sullivan & Cromwell LLP
  • USA
  • May 26 2015

On May 20, 2015, the Securities and Exchange Commission proposed new rules and amendments that would significantly modify the disclosure and


New approval procedures for key function holders in investment firms
  • NautaDutilh
  • Luxembourg
  • May 26 2015

Persons exercising key functions in investment firms are subject to specific approval by the Luxembourg financial regulator, the


Second Circuit narrows scope of SLUSA preclusion
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • May 26 2015

In In re Kingate Management Ltd. Litigation, No. 11-1397, 2015 U.S. App. LEXIS 6725 (2d Cir. Apr. 23, 2015), the United States Court of Appeals for


The SEC’s new guidance on cybersecurity: coding your best practices
  • Squire Patton Boggs
  • USA
  • May 26 2015

As registered investment companies ("funds") and registered investment advisers increasingly rely on information technology, the US Securities and


SEC re-examines exclusion of shareholder proposals that directly conflict with company proposals; companies consider preemptive action on proxy access
  • Drinker Biddle & Reath LLP
  • USA
  • May 26 2015

With a single statement the SEC upended the private ordering of how shareholder proposals are often dealt with in the height of proxy season