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New whistleblowing framework for financial institutions
  • Addleshaw Goddard LLP
  • United Kingdom
  • October 9 2015

The FCA and PRA have published new rules on how certain financial institutions must manage internal whistleblowing disclosures. The rules require

Using the Internet to raise money: securities laws and crowdfunding
  • Buchalter Nemer
  • USA
  • October 9 2015

There are many services available to emerging companies to raise money through crowdfunding. As an entrepreneur or leader of a company evaluating

Covenant-lite terms continue to develop in Europe
  • Latham & Watkins LLP
  • European Union
  • October 9 2015

09 October 2015As predicted a year ago, the adoption of US-style covenant-lite terms in European leveraged deals continues apace

Handbook for issuers making crossborder offers using the ASEAN disclosure standards under the streamlined review framework for the ASEAN common prospectus
  • Rajah & Tann Asia LLP
  • Singapore
  • October 8 2015

In March 2015, the Monetary Authority of Singapore (“MAS”) and Singapore Exchange (“SGX”) jointly signed a Memorandum of Understanding (“MOU”) with

U.S. Supreme Court refuses to hear controversial insider trading case
  • Clifford Chance LLP
  • USA
  • October 8 2015

On October 5, 2015, the U.S. Supreme Court denied the U.S. Solicitor General's petition for writ of certiorari to review the Second Circuit's

Rights (offering) on the money: CSA announces changes to rights offering prospectus exemptions
  • McMillan LLP
  • Canada
  • October 8 2015

On September 24, 2015, the Canadian Securities Administrators ("CSA") announced a long anticipated change to the rights offering prospectus exemption

Central Bank issues a new UCITS Rulebook, a feedback statement on CP 77 and an updated Q&A on UCITS
  • Arthur Cox
  • Ireland
  • October 8 2015

On 5 October 2015, the Central Bank published the Central Bank UCITS Regulations 2015 which are to come into effect on 1 November 2015. These new

SEC approves rule to regulate debt research reports and debt research analysts
  • Morgan Lewis & Bockius LLP
  • USA
  • October 8 2015

Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s

SEC brings first cybersecurity enforcement proceeding in wake of Risk Alert
  • Foley & Lardner LLP
  • USA
  • October 8 2015

On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE), issued new guidance

Regulation S-P violation: are you prepared for a cyber-security breach?
  • Barnes & Thornburg LLP
  • USA
  • October 8 2015

On Sept. 22, 2015, the Securities and Exchange Commission (SEC) announced the first violation by a registered investment advisor of the so-called