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Dechert LLP | USA | 11 Nov 2021

FINRA Proposes Order Routing Disclosure Requirements for OTC Equity Securities

The Financial Industry Regulatory Authority (“FINRA”) on October 6, 2021, published a Regulatory Notice (“Notice”) requesting comment on a proposal…
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Clyde & Co LLP | Australia, USA | 18 Feb 2020

The increasing risk of US securities class actions for Australian companies

Two recent developments in US class action law demonstrates the extraterritorial reach of US Securities law and represents an emerging risk for…
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Cadwalader Wickersham & Taft LLP | USA | 7 Feb 2020

Broker-Dealer Settles SEC Charges for Improper Handling of ADRs

A broker-dealer agreed to settle SEC charges for failing to properly handle "pre-released" American Depositary Receipts ("ADRs") and for related…
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Thompson Hine LLP | USA | 8 Apr 2019

New Jersey Enacts Limits on Employment and Settlement Agreements

In the wake of the #MeToo movement, the New Jersey legislature is addressing employers' abilities to limit the legal venues in which employees can…
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Buckley LLP | USA | 5 Apr 2019

German medical equipment provider settles FCPA claims for $230 million

On March 29, DOJ publicly released a non-prosecution agreement it had entered into in late February with a Germany-based provider of medical…
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Buckley LLP | USA | 29 Mar 2019

Financial services firm settles SEC’s American Depositary Receipts allegations

On March 22, the SEC announced a settlement with a financial services firm to resolve allegations that certain associated persons on its securities…
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Baker & Hostetler LLP | USA | 27 Mar 2019

SEC Adopts Final Rules Modernizing Business and Financial Disclosure Requirements

On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to the disclosure requirements for public companies under…
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Mayer Brown | USA | 21 Feb 2019

Indices: The Good, the Bad and Knowing the Difference

An issuer comes to us and asks if it can link its debt security to an index. This seemingly simple question (if the index is the S&P 500 Index, for…
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Shearman & Sterling LLP | USA | 8 Jan 2019

Fourth Depositary Bank Settles SEC Allegations Of Improper Handling Of Pre-Release ADRs

On December 26, 2018, the Securities and Exchange Commission (“SEC”) announced that a fourth depositary bank (“the Bank”) had agreed to pay a civil…
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