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Loyens & Loeff | Luxembourg | 25 Feb 2021

New CSSF interactive digital portal: e-Prospectus

The CSSF has built a new digital portal (e-Prospectus) where issuers will, as of 1 March 2021, be able to submit and follow their application requests…

Hogan Lovells | European Union, United Kingdom | 31 Jul 2020

Will UK issuers benefit from the EU's proposed introduction of lighter prospectus disclosure requirements pursuant to the EU Recovery Prospectus?

On 20 July 2020, the European Commission (Commission) adopted a capital markets recovery package as part of its overall COVID-19 recovery strategy. As…

Kilpatrick Townsend & Stockton LLP | USA | 1 May 2020

An Overview of Key COVID-19 Relief Granted to Registered Mutual Funds by the SEC

Please note: The below information may require updating, including additional clarification, as the COVID-19 pandemic continues to develop. Please…

Skadden Arps Slate Meagher & Flom LLP | USA | 9 Apr 2020

SEC COVID-19 Relief for Registered Funds and BDCs: A Summary

In recent weeks, the U.S. Securities and Exchange Commission (SEC) and market participants have dealt with the current and potential impact of the…

Hogan Lovells | United Kingdom | 8 Apr 2020

New FCA measures to assist listed companies to raise funding during the coronavirus crisis

The FCA has today published additional primary market measures to help listed companies. The Focus of the measures balances the need to help companies…

Thompson Hine LLP | USA | 20 Mar 2020

SEC Issues Guidance for Registered Funds Facing Operational Challenges Due to COVID-19

On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order (the “Order”) pursuant to Section 6(c) and Section 38(a) of the…

Fasken | Canada | 17 Mar 2020

A Harmonized Approach to Confidential Prospectus Pre-Filing Reviews

In Canada, the prospectus review process generally begins on the filing by an issuer of its preliminary prospectus. A challenge that issuers sometimes…

Ropes & Gray LLP | USA | 15 Mar 2020

SEC Provides Conditional Relief from In-Person Fund Board Meeting Requirements, Select 1940 Act (Forms N-CEN, N-PORT, N-23C-2) and Advisers Act (Forms ADV and PF) Filing Deadlines and Prospectus Delivery Requirements

On March 13, 2020, the SEC issued a 1940 Act exemptive order and an Advisers Act exemptive order providing relief for funds and investment advisers…

Taylor Wessing | Germany | 12 Mar 2020

Mitarbeiterbeteiligungs-Programme und jüngste ESMA-Empfehlungen zur Prospektpflicht

Für kleine oder mittelständische Unternehmen ist es oftmals schwierig, hochqualifizierte Mitarbeiter zu rekrutieren und langfristig im Unternehmen zu…

Fasken | Canada | 2 Mar 2020

CSA Final Amendments and OSC Proposed Rule Regarding the Prohibition against/Restriction on the Use of Deferred Sales Charges for Prospectus Qualified Mutual Funds

On February 20, 2020, the Canadian Securities Administrators (the CSA), other than the Ontario Securities Commission (the OSC) (the Participating…
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