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1,247 results found


Baker McKenzie | Gibraltar, Global | 10 Apr 2019

The Gibraltar Stock Exchange Set To Offer Digital Debt Securities and Funds

The Gibraltar Stock Exchange (GSX) is set to become among the world’s first stock exchanges to offer the listing services of digital debt securities


McCarthy Tétrault LLP | Canada | 23 Apr 2018

Ontario Budget 2018: Financial Services Updates

Ontario’s Minister of Finance, Charles Sousa, tabled the government’s pre-election fiscal plan on Wednesday, March 28, 2018, the 2018 Ontario Budget:


Morgan Lewis | USA | 12 Apr 2018

Shareholder Litigation in the Wake of the MeToo Movement

Companies are facing a growing number of derivative and securities class actions in the wake of the MeToo movement. Having strong protocols to


Fasken | Canada | 11 Apr 2018

Aurora-CanniMed: Securities Regulators Hold Firm on New Bid Regime

On March 15, 2018, the Ontario Securities Commission (OSC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAAS) released highly


Shearman & Sterling LLP | USA | 3 Apr 2018

SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports

On March 28, 2018, the Securities and Exchange Commission (“SEC”) instituted settled administrative proceedings against broker-dealer Aegis Capital


Proskauer Rose LLP | USA | 10 Jan 2018

SEC Temporarily Suspends Trading of UBI Blockchain Internet, Ltd. Over Questions as to Disclosure

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


Cahill Gordon & Reindel LLP | USA | 2 Jun 2017

SEC Settles with CEO for Failure To Disclose Executive Perks to Shareholders

The Securities and Exchange Commission ("SEC") recently announced that it had entered into a settlement with Miles S. Nadal ("Nadal"), the former


Sullivan & Cromwell LLP | USA | 11 May 2017

CFTC Proposes to Amend CCO Rules - CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

On May 3, 2017, the Commodity Futures Trading Commission (the "CFTC") announced proposed amendments to its rules governing the duties of chief


Katten Muchin Rosenman LLP | USA | 16 Apr 2017

Defendants Named in SEC Spoofing Claim Vehemently Dispute Customer’s Trading Violated Law

Lek Securities Corporation ("LEK"), a broker-dealer, and Samuel Lek, the firm's principal owner and chief executive officer, vehemently opposed the


Katten Muchin Rosenman LLP | USA | 2 Apr 2017

Following SEC Action, Broker-Dealer and CEO Also Charged by FINRA and 10 Securities Exchanges With Aiding and Abetting Client’s Layering, Spoofing and Cross-Market Manipulation

Less than 20 days after they were sued by the Securities and Exchange Commission for similar violations in a US federal court in New York City, Lek

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