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Staff Notice 46-308 - Securities Law Implications for Offerings of Tokens
  • Miller Thomson LLP
  • Canada
  • June 15 2018

On June 11, 2018, Canadian Securities Administrators (CSA) issued Staff Notice 46-308 Securities Law Implications for Offerings of Tokens (the

Reading the Tea Leaves: The Commission’s Reg Flex Agenda
  • Mayer Brown
  • USA
  • May 17 2018

The recently updated Securities and Exchange Commission agenda (see here and here) provides some insight on what to expect in upcoming months. The

Cyber Threats and Social Media Pose Growing Risks For Registered Firms
  • Borden Ladner Gervais LLP
  • Canada
  • November 14 2017

The Canadian Securities Administrators ("CSA") published the results of the CSA's survey of cybersecurity and social media practices of registered

New SEC Guidance With Respect to Non-GAAP Financial Measures in Business Combination Transactions
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • October 18 2017

On Oct. 17, 2017, the Division of Corporation Finance of the Securities and Exchange Commission (SEC ) released updated Compliance and Disclosure

Summer-Time Tasks for Fund Managers
  • McCann FitzGerald
  • Ireland
  • May 26 2017

June and July will see two new regulatory requirements becoming applicable to certain fund managers, namely, the requirements to: put in place an

ABA Encourages Encryption of Emails When Transmitting Confidential Client Information
  • Seyfarth Shaw LLP
  • USA
  • May 22 2017

In a recent formal Ethics Opinion, the American Bar Association stressed that lawyers must make reasonable efforts to prevent inadvertent or

SEC Targets Severance Agreements That Impede Whistleblowers
  • Holland & Hart LLP
  • USA
  • February 7 2017

The U.S. Securities and Exchange Commission (SEC) is cracking down on severance agreements that prohibit former employees from contacting regulators

Update on the CSA’s “Proxy Plumbing” Initiative
  • McCarthy Tétrault LLP
  • Canada
  • December 20 2016

The Ontario Securities Commission (OSC) recently held a roundtable on the “Proposed Protocols for Meeting Vote Reconciliation”. The purpose of this

SEC's Whistleblower Program Is Alive and Well
  • Dechert LLP
  • USA, Ireland
  • November 21 2016

The U.S. Securities and Exchange Commission (the "Commission") has reported to Congress that its Whistleblower Incentives and Protections program

Employers Beware: SEC Continues Offensive on Employment Agreements That Inhibit Whistleblowers
  • Akerman LLP
  • USA, Ireland
  • November 21 2016

Risk Alert (literally)! Standard provisions in employment agreements, severance agreements and policies may run afoul of the SEC’s whistleblower