Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 30, 2011 Client Update 香港IPO資本市場における近時の進展（参考和訳） 香港証券先物委員会（以下「SFC」という）及び香港証券取引所（以下「HKEx」という）は、?... October 27, 2011 Client Update SEC Approves Private Fund Systemic Risk Reporting On October 26, 2011, the Securities and Exchange Commission (the “SEC”) voted unanimously to adopt a new rule under th... October 20, 2011 Client Update Cybersecurity: SEC Provides Guidance on Disclosure Considerations The staff of the SEC’s Division of Corporation Finance recently issued Disclosure Guidance on cybersecurity risks. The g... October 19, 2011 Client Update SEC Staff Rejects Introducing Broker as Appropriate Evidence of Ownership for Shareholder Proposals and Provides Other Technical Guidance Yesterday the SEC Staff issued Staff Legal Bulletin No. 14F (SLB 14F), which addresses the mechanics related to proof of e... October 5, 2011 Client Update SEC Large Trader Rule: Impact on Corporations and Related Individuals The SEC’s new Large Trader Reporting Rule should be reviewed by corporations and individuals that exercise discretion ov... October 4, 2011 Client Update Tighter Circuit Breakers in Equities Markets The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The p... September 21, 2011 Client Update SEC Clears the Way for “Private Ordering” for Proxy Access; Related Rules also Effective The SEC’s changes to Exchange Act Rule 14a-8(i)(8), which went into effect yesterday, generally will require companies t... September 13, 2011 Client Update FINRA Watching for Promises of Favorable Research in Exchange for Investment Banking Business Approximately ten years ago, the US regulators, including FINRA, began to crack down on a variety of research-related prac... August 23, 2011 Client Update SEC's Temporary Suspension of EDGAR Filing System The SEC announced today that it temporarily suspended the operation of its EDGAR filing system as a precautionary measure ... August 22, 2011 Client Update FINRA Files Amended Communications Rules – Impact on Structured Products On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a pr... Load More
October 30, 2011 Client Update 香港IPO資本市場における近時の進展（参考和訳） 香港証券先物委員会（以下「SFC」という）及び香港証券取引所（以下「HKEx」という）は、?...
October 27, 2011 Client Update SEC Approves Private Fund Systemic Risk Reporting On October 26, 2011, the Securities and Exchange Commission (the “SEC”) voted unanimously to adopt a new rule under th...
October 20, 2011 Client Update Cybersecurity: SEC Provides Guidance on Disclosure Considerations The staff of the SEC’s Division of Corporation Finance recently issued Disclosure Guidance on cybersecurity risks. The g...
October 19, 2011 Client Update SEC Staff Rejects Introducing Broker as Appropriate Evidence of Ownership for Shareholder Proposals and Provides Other Technical Guidance Yesterday the SEC Staff issued Staff Legal Bulletin No. 14F (SLB 14F), which addresses the mechanics related to proof of e...
October 5, 2011 Client Update SEC Large Trader Rule: Impact on Corporations and Related Individuals The SEC’s new Large Trader Reporting Rule should be reviewed by corporations and individuals that exercise discretion ov...
October 4, 2011 Client Update Tighter Circuit Breakers in Equities Markets The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The p...
September 21, 2011 Client Update SEC Clears the Way for “Private Ordering” for Proxy Access; Related Rules also Effective The SEC’s changes to Exchange Act Rule 14a-8(i)(8), which went into effect yesterday, generally will require companies t...
September 13, 2011 Client Update FINRA Watching for Promises of Favorable Research in Exchange for Investment Banking Business Approximately ten years ago, the US regulators, including FINRA, began to crack down on a variety of research-related prac...
August 23, 2011 Client Update SEC's Temporary Suspension of EDGAR Filing System The SEC announced today that it temporarily suspended the operation of its EDGAR filing system as a precautionary measure ...
August 22, 2011 Client Update FINRA Files Amended Communications Rules – Impact on Structured Products On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a pr...