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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


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


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


FINRA Revises its Proposed Amendments to Rule 2210
  • Morrison & Foerster LLP
  • USA
  • October 6 2016

In our recent Client Alert, we wrote about the Financial Industry Regulatory Authority, Inc.'s proposed changes to Rule 2210, Communications with the


Practice Pointers on Navigating the Securities Act's Prohibition on General Solicitation and General Advertising
  • Morrison & Foerster LLP
  • USA
  • September 1 2016

The Investment Lawyer Covering Legal and Regulatory Issues of Asset Management VOL. 23, NO. 9 SEPTEMBER 2016 Practice Pointers on Navigating the