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Court of Appeal finds no contractual duty to prevent counterparty from inflicting economic harm on itself
  • Herbert Smith Freehills LLP
  • United Kingdom
  • February 13 2018

A recent Court of Appeal decision has found that a broker owed no contractual duty to prevent a "sophisticated and experienced" trader (trading as a

SEC Temporarily Suspends Trading of UBI Blockchain Internet, Ltd. Over Questions as to Disclosure
  • Proskauer Rose LLP
  • USA
  • January 10 2018

On Monday, the U.S. Securities and Exchange Commission (SEC) halted all trading in the stock of the Hong Kong-based firm, UBI Blockchain Internet

SEC Scrutinizes Pumping of Blockchain-Related Securities
  • Reed Smith LLP
  • USA
  • January 9 2018

The U.S. Securities and Exchange Commission ("SEC") is continuing to increase its scrutiny of companies that might be taking advantage of investor

Using growth targets to supplement growth strategy disclosure
  • Osler Hoskin & Harcourt LLP
  • Canada
  • December 18 2017

The increase in initial public offering (IPO) activity in 2017 saw an increase in the use of “growth targets” - forward-looking information about a

Biotech files rulemaking petition for pilot program mandating public disclosure of short-sale positions
  • Cooley LLP
  • USA
  • November 16 2017

A rulemaking petition has been submitted to the SEC by a biopharmaceutical company that is “developing and marketing regenerative and therapeutic

Supreme Court Decision Restricts Minority Shareholders' Speculative Conduct with Respect to Cash-Out Demands
  • Jones Day
  • Japan
  • October 26 2017

On August 30, 2017, the Supreme Court (second petty bench) held that, with respect to the shares of minority shareholders subject to a demand for the

Audit Firm And Engagement Partner Settle SEC Allegations Stemming From 2011 Audit Of A New Client
  • Shearman & Sterling LLP
  • USA
  • August 22 2017

On August 15, 2017, KPMG LLP (“KPMG”) and one of its engagement partners settled claims brought by the U.S. Securities and Exchange Commission

Your Broker May Be Wrong: Why Your D&O Policies Should Cover Delaware Appraisal Proceedings
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • August 2 2017

It’s now accepted wisdom that virtually all public company mergers and acquisitions will be challenged with at least one lawsuitover 95 of them are

OSC releases long-awaited decision in Sino-Forest case
  • Osler Hoskin & Harcourt LLP
  • Canada
  • July 28 2017

Six years after short seller Muddy Waters issued a report damning Sino-Forest Corporation as a fraud and a Ponzi scheme, the Ontario Securities

Get shorty: defamation and regulatory claims against short-sellers in Canada
  • DLA Piper
  • Canada, Global
  • July 26 2017

Public companies in Canada can reasonably expect a degree of scrutiny by market participants. Analysts might question fiscal projections