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In a surprising change of direction, the SFC has discarded plans to amend Hong Kong’s companies legislation to make it clear that sponsors of IPOs have statutory prospectus liability.
S...
The Federal Trade Commission (“FTC”) yesterday fined Berkshire Hathaway Inc. $896,000 to settle allegations that it violated the Hart-Scott-Rodino Antitrust Improvements Act (the “H...
The NYTimes Dealbook recently focused on a Proxy Monitor study that found that 70% of shareholder proposals submitted by individuals to Fortune 250 companies in 2014 were sponsored by thr...
ISS has launched a new Equity Plan Data Verification portal to better reflect the most up-to-date data for investors voting on equity plans. While this process is optional for issuers and...
On August 8, 2014, The Loan Syndications and Trading Association (“LSTA”) published in final form its latest iteration of the Model Credit Agreement Provisions (the “2014 MCAPs”),...
The Council of Institutional Investors (CII) sent a letter to Keith Higgins, the director of the SEC Division of Corporation Finance, related to the Dodd-Frank requirement for the SEC to ...
The latest SEC award to a whistleblower was notable for having been initially denied because the SEC decided that the information was not “voluntarily” provided. Under the SEC rules, ...
Two sets of important guidelines have recently been issued which are relevant to UK listed companies seeking to raise new capital or contemplating other types of corporate finance transac...
The Citizens for Responsibility and Ethics (CREW) has filed a comment in response to the Chamber of Commerce’s petition asking the Commission to increase the voting approval threshold f...
On July 23, 2014, the Securities and Exchange Commission adopted significant amendments to rules under the Investment Company Act of 1940 and related requirements that govern money market...