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Results:1-10 of 175

All bets are off: Quebec AMF moves to ban short-term binary options
  • Stikeman Elliott LLP
  • USA, Canada
  • March 1 2017

On February 1, 2017, the Autorité des Marchés Financiers (AMF), Quebec’s financial markets regulator, published proposed amendments to the


ASC plans to explore the creation and implementation of a whistleblower program
  • Stikeman Elliott LLP
  • Canada
  • February 23 2017

A Whistleblower Program may be part of a comprehensive compliance and enforcement regime that the Alberta Securities Commission (ASC) recently


Canadian securities regulators publish capital markets guidance update on cyber security
  • Stikeman Elliott LLP
  • USA, Canada
  • October 4 2016

While noting that there is no one-size-fits-all approach to cyber security, the CSA expects issuers, registrants and other regulated entities (such


La gouvernance au Canada - grands enjeux de la saison des assemblées 2016
  • Stikeman Elliott LLP
  • Canada
  • February 10 2016

Dans cet article, nous abordons les principaux enjeux qui seront, d’après nous, le point de mire des conseils d’administration et actionnaires


SEC proposes expanding the corporate "clawback" rules
  • Stikeman Elliott LLP
  • USA
  • July 13 2015

On July 1, 2015, following a 3-2 vote, the U.S. Securities and Exchange Commission (SEC) announced proposed rules that would implement the


Recent SEC enforcement actions put spotlight on Schedule 13D (early warning reports) update
  • Stikeman Elliott LLP
  • USA
  • June 8 2015

Recent administrative proceedings on the part of the Securities and Exchange Commission (SEC) serve as a cautionary note for Schedule 13D filers with


SEC issues cybersecurity guidance for registered investment advisers and funds
  • Stikeman Elliott LLP
  • USA
  • May 25 2015

In a recent investment management guidance update, the United States Securities and Exchange Commission (SEC) addressed the need for greater


SEC proposes crowdfunding rules
  • Stikeman Elliott LLP
  • USA, Canada
  • October 24 2013

The U.S. Securities and Exchange Commission yesterday released proposed rulesthat would allow companies to raise capital through crowdfunded


SEC eliminates private placement solicitation and advertising prohibitions
  • Stikeman Elliott LLP
  • Canada
  • July 15 2013

The U.S. Securities and Exchange Commission (SEC) announced last week that it is eliminating the prohibition against general solicitation and


U.S. court vacates SEC resource extraction issuer disclosure rules
  • Stikeman Elliott LLP
  • USA
  • July 8 2013

While it was recently announced that new Canadian transparency rules are expected for mining and oil and gas companies, on July 2, 2013, the U.S