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Searching Content indexed under Compliance by Shearman & Sterling LLP ordered by Published Date Descending.
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1
Guidance On CFC ‘Downward Attribution Rules' Provides Limited Relief To US Taxpayers
On October 1, 2019, the Internal Revenue Service (IRS) issued Revenue Procedure 2019-40 (Revenue Procedure) and proposed regulations (Proposed Regulations) ...
United States
11 Oct 2019
2
Southern District Of New York Dismisses Putative Class Action Against Building Materials Company For Failure To Adequately Allege Misstatements And Scienter
On July 12, 2019, Judge Valerie Caproni of the United States District Court for the Southern District of New York dismissed a putative securities class action brought against the building materials
United States
29 Jul 2019
3
Fifth Circuit Affirms Dismissal Of Class Action Against Pipeline Operator For Failure To Adequately Allege Misstatements Or Scienter
On July 16, 2019, the United States Court of Appeals for the Fifth Circuit affirmed a decision by the United States District Court for the Northern District of Texas that dismissed a putative class
United States
29 Jul 2019
4
Market Abuse Regulation And Prospectus Regulation: European Parliament Resolution On SME Growth Market Reform
On 18 April 2019, the European Parliament resolved to adopt, with amendments, the European Commission's proposed Regulation to amend both MAR and the new Prospectus Regulation (PR)
European Union
26 Jul 2019
5
Raising The Bar: SEC Adopts Broker-Dealer Standard Of Care And Guidance On Investment Advisers' Fiduciary Standard
On June 5, 2019, the U.S. Securities and Exchange Commission (the "SEC" or "Commission") culminated its multi-year consideration of commentary
United States
9 Jul 2019
6
Governance & Securities Law Focus: Asia Edition, June 2019
These communications would be exempt from the prohibition imposed by Section 5 of the Securities Act on making any written or oral offers prior to the filing of a registration statement with the SEC.
Worldwide
2 Jul 2019
7
Second Circuit Affirms Dismissal Of Putative Securities Class Action, Holding That The Occurrence Of Regulatory Problems Do Not Render Materially Misleading Generic Positive Statements Regarding A Corporation's Compliance Efforts
On March 5, 2019, the United States Court of Appeals for the Second Circuit affirmed the dismissal of a putative securities class action against Cigna and several of its officers.
United States
20 Mar 2019
8
FCA Publishes Latest Review On MAR Implementation
On 17 December 2018, the FCA published issue 58 of its Market Watch newsletter. This edition focused on the industry-wide review of the implementation ...
European Union
5 Feb 2019
9
FRC Publishes Review Of Corporate Governance And Reporting 2017/2018
On 24 October 2018, the FRC published its annual review of corporate governance and reporting.
United States
31 Jan 2019
10
SEC's Office Of Compliance Inspections And Examinations Announces 2019 Examination Priorities
Reaching municipal advisors that have never been examined will continue to be a focus.
United States
18 Jan 2019
11
Third Circuit Affirms In Part And Vacates In Part Dismissal Of Putative Securities Class Action Resulting From Merger, Finding Sufficient Certain Allegations That Bank Failed To Adequately Disclose Non-Compliant Practices In Proxy Materials
On December 26, 2018, the United States Court of Appeals for the Third Circuit affirmed in part and vacated in part the dismissal of a putative securities class action against M&T Bank Corporation (the "Company") and certain of its officers and directors.
United States
10 Jan 2019
12
US Securities And Exchange Commission Issues Non-Enforcement Position Regarding Security-Based Swap Business Conduct Rules
On October 31, 2018, the Securities and Exchange Commission issued a non-enforcement position providing market participants, for a five-year period ...
United States
6 Dec 2018
13
OCIE Highlights Investment Adviser Compliance Issues Related To The Cash Solicitation Rule
The solicitor must not have committed certain acts of malfeasance or otherwise be subject to certain disciplinary events, as more particularly described in the Rule.
United States
6 Dec 2018
14
UK Prudential Regulator Issues Update To Level One Firms On Supervising Remuneration Compliance
On October 18, 2018, the U.K. PRA published a "Dear Remuneration Committee Chair" letter that it has sent to Remuneration Committee Chairs of proportionality Level One firms.
UK
31 Oct 2018
15
Southern District Of Florida Dismisses Certain Securities Fraud Claims For Failure To Adequately Allege Scienter And Sustains Others
On October 4, 2018, Magistrate Judge Bruce Reinhart of the United States District Court for the Southern District of Florida granted in part and denied in part a motion to dismiss claims ...
United States
10 Oct 2018
16
Bank Of England Establishes Enforcement Decision Making Committee And Appoints Members
On August 3, 2018, following a consultation that ran between November 2017 and February 2018, the Bank of England published a policy statement on the procedure and necessary revisions to existing policies ...
UK
22 Aug 2018
17
SEC Publishes New Guidance On Non-GAAP Financial Measures - July 2018
On 4 April 2018, the staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC) updated its compliance and disclosure interpretations (C&DIs) ...
United States
3 Aug 2018
18
European Commission Adopts Technical Standards Under The EU Benchmarks Regulation
On July 13, 2018 the European Commission adopted a series of Commission Delegated Regulations comprising all of the RTS to supplement the EU Benchmarks Regulation.
European Union
2 Aug 2018
19
Gun-Jumping And Procedural Compliance
The EU and U.S. competition authorities have been and remain active in enforcing gun-jumping cases, while in recent years other competition authorities across the world, including in China...
Worldwide
16 Apr 2018
20
SEC Proposes Modernization And Simplification Of Disclosure Rules
On October 11, 2017, the SEC proposed certain amendments to Regulation S-K to simplify and streamline disclosures made by public companies and reduce compliance costs...
United States
6 Mar 2018
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