Mondaq USA: Corporate/Commercial Law
Shearman & Sterling LLP
On 13 July 2016, ESMA published an updated version of its Q&A on MAR on closed periods, i.e. where persons discharging managerial responsibilities are prohibited from dealing in shares and debt instruments of the issuers.
Shearman & Sterling LLP
On 13 July 2016, ESMA published final guidelines on persons receiving market soundings and delay of disclosure of inside information.
Shearman & Sterling LLP
On 3 July 2016, the key operative provisions of the MAR took effect. MAR addresses areas such as insider dealing, unlawful disclosure of inside information and market manipulation constituting market abuse for MAR purposes.
Shearman & Sterling LLP
On 4 July 2016, the Association for Financial Markets in Europe ("AFME") published guidance on research meetings and material prior to the award of a capital markets mandate.
Shearman & Sterling LLP
On 15 July 2016, the European Securities and Markets Authority ("ESMA") published an updated version of its Q&A to include two new questions.
Shearman & Sterling LLP
On 28 July 2016, ESMA published statistical data on prospectuses falling with the EU prospectus regime approved and passported by national competent authorities in the European Economic Area ("EEA").
Shearman & Sterling LLP
On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to replace the current Prospectus Directive.
Shearman & Sterling LLP
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
Caplin & Drysdale
The new rules generally do not apply to obligations in place before October 5, 2016 unless they are modified.
Kramer Levin Naftalis & Frankel LLP
In dismissing the trustee's non-contractual claims, the Supreme Court held that the indenture did not authorize the trustee to pursue such claims under its own volition.
Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
The JOBS Act has finally been laid to rest, and the much anticipated final rules—by all accounts—delivered. As the dust settles, issuers and investors should make note of three key takeaways
Cadwalader, Wickersham & Taft LLP
A hedge fund advisory firm and a senior research analyst agreed to settle SEC charges that they failed to detect insider trading conducted by one of the firm's employees.
Cadwalader, Wickersham & Taft LLP
New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC Notices of exchange rule changes and proposals for the week of October 10 - October 14.
Cadwalader, Wickersham & Taft LLP
In a Streetwise Professor blog post, University of Houston Finance Professor Craig Pirrong expressed skepticism that blockchain technology will "disintermediate" central clearing parties.
Cadwalader, Wickersham & Taft LLP
SEC Enforcement Director Andrew J. Ceresney outlined agency enforcement activities in the public finance market.
Akin Gump Strauss Hauer & Feld LLP
Accordingly, companies with a December 31 fiscal year-end must present the pay ratio disclosures beginning with their Form 10-Ks or proxy statements filed in 2018.
Willkie Farr & Gallagher LLP
An RIA's fiduciary duty obligates it to take steps to protect its clients' interests from the potential ramifications of the RIA's temporary or permanent inability to provide advisory services.
Jones Day
The proposed regulations generally created three sets of rules for related-party corporate-issued debt.
Sheppard Mullin Richter & Hampton
The SEC shut down a "fantasy" stock picking game for allegedly violating securities laws.
Cadwalader, Wickersham & Taft LLP
Senator Elizabeth Warren (D-MA) "strongly urge[d]" President Obama to "immediately designate another SEC Commissioner as Chair of the agency."
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