Searching Content indexed under Securities by Dentons ordered by Published Date Descending.
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Update On Manager-In-Charge Regime
The Manager-in-Charge ("MIC") regime was fully implemented by the Securities and Futures Commission ("SFC") on 17 October 2017 to promote proper conduct and increase awareness of individual responsibility and accountability.
Hong Kong
6 Dec 2019
SGX-ST Consultation On Proposed Removal Of The Minimum Trading Price Framework
The Singapore Exchange Securities Trading Limited (SGX-ST) issued a consultation paper on 28 November 2019 to consult on the proposed removal of the minimum trading price framework (MTP Framework).
5 Dec 2019
CSA To Review Automatic Securities Disposition Plans
On October 24, 2019, the Canadian Securities Administrators (CSA) announced that it is undertaking a review of automatic securities disposition plans (ASDPs).
5 Dec 2019
Securities Regulators Propose To Reduce Regulatory Burden For Investment Fund Issuers
On September 12, 2019, the Canadian Securities Administrators (CSA) published for comment CSA Notice and Request for Comment – Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
23 Oct 2019
Swing Pricing Mechanism
The Luxembourg financial supervisory authority, the Commission de Surveillance du Secteur Financier (CSSF), recently provided answers to frequently asked questions ...
3 Oct 2019
Recent SEC Enforcement Action Emphasizes Need For Care In Handling MNPI And Disclosing FDA-Related Information
On August 20, 2019, pharmaceutical company TherapeuticsMD, Inc. settled charges by the Securities and Exchange Commission that TherapeuticsMD
United States
26 Sep 2019
Crypto Consulting Services May Violate Securities Laws: Lessons From The OSC's Settlement Agreement With CoinLaunch Corp.
On July 24, 2019, the Ontario Securities Commission (OSC) approved a settlement agreement with CoinLaunch Corp
13 Sep 2019
Uzbekistan Further Simplifies Its Privatization Procedures
The President of Uzbekistan, Shavkat Mirziyoyev, has signed Resolution No. PP-4381 dated July 1, 2019 (the "Resolution"), which is aimed, inter alia, at further simplifying privatization procedures.
2 Sep 2019
SEC Proposes Rule Amendments To Modernize Regulation S-K Disclosure
On August 8, 2019, the US Securities and Exchange Commission (SEC) proposed rule amendments to modernize disclosure requirements relating to the business description
United States
19 Aug 2019
Key Regulatory Developments In The EU - July 26, 2019
The ESMA has published its annual peer review report on the overall supervision of EU Central Counterparties (CCPs) by National Competent Authorities (NCAs).
European Union
2 Aug 2019
Key Regulatory Developments In Germany - July 26, 2019
Topics (selection): Bank liquidation / BaFin event on technical cooperation / Outsourcing of banks / Cooperation with Japan / Stronger supervision of subordinated loans
2 Aug 2019
Private Security General Regulations 2019
Following the enactment of the Private Security Regulation Act No. 13 of 2016, the Cabinet Secretary for Interior and Co-ordination of National Government gazetted the Private Security Regulations, 2019 on 5 July 2019.
United States
30 Jul 2019
Final Implementation Of The New EU Prospectus Regulation
The bulk of the new EU Prospectus Regulation 2017/1129 (the Regulation) took effect on 21 July 2019.
European Union
29 Jul 2019
ESMA Consults On Draft Guidelines For UCITS Performance Fees
The European Securities and Markets Authority has published a consultation paper that contains draft guidelines on the regulation of certain elements of performance fees.
25 Jul 2019
CSA Publishes Business Plan, Includes Key Crypto-Asset Issues
On June 13, 2019, the Canadian Securities Administrators ("CSA"), a national organization committed to harmonizing securities regulation across Canada, published the CSA Business Plan 2019-2022 ("Plan") outlining initiatives to better assist participants in the capital market industry.
15 Jul 2019
EU Developments: What New Measures Might We See On Workers' Rights?
The EU Council has had a busy month, adopting two new directives which will strengthen employees' rights.
European Union
5 Jul 2019
Directors' Remuneration Reporting: New Rules For Certain Publicly Traded Companies
There will be some changes to the rules on directors' remuneration reporting in the Companies Act 2006 to reflect the requirements of the EU Shareholder Rights Directive II which EU member states must implement by 10 June 2019.
28 May 2019
Amendments To The Russian Securities Market Law: New Rules Of The Game
The end of 2018 was inaugurated with large-scale amendments to Russian securities market legislation aimed at improving the legal framework of the securities issuance procedure.
United States
21 May 2019
ESMA Q&As Updated To Clarify Prospectus And Transparency Rules In Case Of No-Deal Brexit
As part of the continued preparation for a No-Deal Brexit, the European Securities and Markets Authority (ESMA) on January 31, 2019 and subsequently on April 8, 2019, amended some of its Questions
European Union
1 May 2019
Canadian Securities Administrators Consultation Paper: The Regulation Of Crypto-Asset Platforms
According to the death certificate produced by the Government of Rajasthan (a region of India), Gerald Cotten, the CEO of the cryptocurrency exchange QuadrigaCX ...
15 Apr 2019
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