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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Withers LLP ordered by Published Date Descending.
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1
Founders/Controlling Shareholders Of Companies Considering An IPO On The London Stock Exchange
Why do I need separate advice given my company will be engaging advisers for the IPO?
UK
28 Dec 2018
2
It Does Not Pay To Manipulate The Stock Market
Manipulating the stock market can be done in a variety of manners, and the law has sought to identify and curb stock market manipulation by prohibiting certain actions
Singapore
1 Oct 2018
3
FAQs For Founders Or Controlling Shareholders Of Companies Considering A HK IPO
Dual-class shares may now be listed in Hong Kong, with Xiaomi as the first dual-class share structure to have listed
Hong Kong
1 Oct 2018
4
US Corporate Law News: NFA Develops Required Proficiency Programs For Swaps
The National Futures Association is developing a required proficiency program for persons engaged in swap related activities, in the form of an online learning program with an embedded examination.
United States
13 Aug 2018
5
US Corporate Law News: SEC Considers Easing ETF Rules
On June 28, 2018, the Securities and Exchange Commission ("SEC") considered whether to adopt an exchange traded fund ("ETF") ...
United States
18 Jul 2018
6
Dual Class Share Listings - July 2018
The changes are made with the intention to grow the stock market scene in Asia.
Hong Kong
13 Jul 2018
7
US Corporate Law News: CFTC Sets Threshold For Swap-Dealer Registration At $8 Billion
On June 4, 2018, the Commodity Futures Trading Commission (CFTC) voted 2-1 in favor of permanently increasing the threshold for swap-dealer registration at $8 billion in annual notational value.
UK
12 Jun 2018
8
US Corporate Law News: FinCEN Customer Due Diligence Requirements For Financial Institutions Take Effect
Effective May 11, 2018, U.S. banks, mutual fund brokers or dealers in securities, futures merchants, and commodities brokers (collectively "financial institutions") are required to comply with...
United States
30 May 2018
9
US Corporate Law News: SEC Chairman And CFTC Chairman Make Joint Statement Regarding Regulation Of Cryptocurrency
On January 25, 2018, the Securities and Exchange Commission Chairman and the Commodity Futures Trading Commission Chairman published a joint op-ed in the Wall Street Journal regarding the regulation of cryptocurrency.
United States
14 Feb 2018
10
Dual Class Share Listings
Both the Singapore and Hong Kong markets are keenly watching in anticipation the coming into play of dual class shares ('DCS') and the effect it will have on the growth of the stock market scene in Asia.
Hong Kong
8 Feb 2018
11
US Corporate Law News: CFTC Charges Randall Crater, Mark Gillespie, And My Big Coin Pay, Inc. With Fraud And Misappropriation In Ongoing Virtual Currency
CFTC's Director of Enforcement cautioned potential virtual currency investors to conduct due diligence prior to their investments.
United States
6 Feb 2018
12
US Corporate Law News: CFTC Extends Swap Dealer De Minimis Threshold Until December 31, 2019
On October 26, 2017, the Commodity Futures Trading Commission issued an order extending until December 31, 2019 the threshold phase-in termination date for the de minimis exception...
United States
24 Nov 2017
13
U.S. Corporate Law News: CFTC Extends Swap Dealer De Minimis Threshold Until December 31, 2019
On October 26, 2017, the Commodity Futures Trading Commission issued an order extending until December 31...
United States
20 Nov 2017
14
Toronto Stock Exchange Amends TSX Company Manual's Disclosure Requirements
In late October 2017, the Toronto Stock Exchange (TSX) adopted amendments to its TSX Company Manual with respect to disclosure requirements applicable to TSX-listed issuers.
Canada
14 Nov 2017
15
U.S. Corporate Law News: CFTC Announces Comparability Determination On European Union Margin Requirements
CFTC Announces Comparability Determination On European Union Margin Requirements
Worldwide
1 Nov 2017
16
Medical Device Issuer Becomes First Regulation A+ Issuer To Seek NYSE Market Listing
Myomo, Inc., a medical device company specializing in orthotics, is hoping to become the first Regulation A+ issuer to be listed on the New York Stock Exchange's small-cap mark...
UK
14 Sep 2017
17
Federal Court Addresses False Rule 13a-14 Certifications; Software License Sales May Be Subject To UK Agency Regulations; And CFTC Signs An MOU With Mexican Authorities
A U.S. Court of Appeals recently ruled that the SEC has a cause of action against CEOs and CFOs who provide a false certification under Exchange Act Rule 13a-14.
Worldwide
28 Sep 2016
18
August 16 Corporate News Update: U.S. Expands Scrutiny Of All-Cash Real Estate Purchases, CFTC Proposes Broader Registration Exemptions For Non-U.S. Intermediaries And IRS Allows Early Application Of New Partnership Audit Rules
This week's Corporate news roundup includes information regarding the widening geographic net cast by FinCEN's review of all-cash real estate purchases in NYC, Florida, California and Texas.
United States
24 Aug 2016
19
6/27 Corporate News Update: SEC's Proposed Mining Company Disclosure Rules, Creation Of New U.S. IEX Stock Exchange, And Case Holding That Text Messages May Meet Statute Of Fraud Requirements
On June 17, 2016, the SEC approved the application of Investors' Exchange LLC to register as a national stock exchange, and certified IEX as the U.S.'s newest stock exchange, with trading expected to begin September 2, 2016.
United States
29 Jun 2016
20
Obtaining A Premium Or Standard Listing On The London Stock Exchange
This note is intended as a general guide to assist a company which may be considering an IPO on the main market of the London Stock Exchange, to identify what steps should be taken towards achieving that aim.
UK
13 Apr 2015
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