Mondaq All Regions: Corporate/Commercial Law > Securities
Koury Lopes Advogados
A CVM, através da sua Superintendência de Relação com Investidores Institucionais publicou no dia 24 de julho de 2019 o Ofício Circular CVM/SIN 8/19.
Koury Lopes Advogados
Das modificações propostas pela nova norma, podemos destacar que (i) em virtude do afastamento do regime da ICVM 400 e de sua baixa utilização.
Koury Lopes Advogados
Em atenção às inovações trazidas pela norma, a ANBIMA inicialmente não aplicará penalidades caso sejam encontradas irregularidades na oferta.
Veirano e Advogados Associados
É a globalização das sociedades limitadas e a educação ao empresariado brasileiro para, desde cedo, incorporar a forma globalizada de administrar, gerir e financiar um negócio
Bennett Jones LLP
On August 1, 2019, the Canadian Securities Administrators (CSA) issued CSA Staff Notice 51-358: Reporting of Climate Change-related Risks (the "Notice") that provides guidance
Norton Rose Fulbright Canada LLP
Traditionally, commodity pools existed as unique investment vehicles which, contrary to other Canadian public investment funds
Basila Abogados, S.C.
On January 5th, 2018, amendments to the General Provisions for the SIEFORES' Investment Regime (Circular del Régimen de Inversión de las SIEFORES) were published in the Official Journal of the Federation, abrogating the previous
Sheppard Mullin Richter & Hampton
In In re Everquote, Inc. Securities Litigation, 2019 N.Y. Slip Op. 29242, No. 651177/2019, 2019 WL 3686065 (Sup. Ct. N.Y. Cnty. Aug. 7, 2019),
Sheppard Mullin Richter & Hampton
In In re Everquote, Inc. Securities Litigation, 2019 N.Y. Slip Op. 29242, No. 651177/2019, 2019 WL 3686065 (Sup. Ct. N.Y. Cnty. Aug. 7, 2019)...
Cleary Gottlieb Steen & Hamilton LLP
Cleary Gottlieb's "2019 Mid-Year Developments in Securities and M&A Litigation" discusses major developments from the first half of 2019 and highlights significant decisions and trends ahead
Mayer Brown
On August 8, 2019, the US Securities and Exchange Commission proposed amendments to Regulation S-K that are intended to modernize business
Arnold & Porter
New York courts have taken varying positions in three recent decisions addressing whether defendants in Securities Act of 1933
Cleary Gottlieb Steen & Hamilton LLP
Global Crisis Management Series: This post is part 9 in a series concerning topics further elaborated on in Cleary Gottlieb's Global Crisis Management
Arnold & Porter
As part of its initiative to modernize and simplify the disclosure requirements of Regulation S-K, as contemplated by the Jumpstart Our Business Startups Act
Mayer Brown
The Securities and Exchange Commission announced an open meeting for August 21st in order to consider:
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
Cadwalader, Wickersham & Taft LLP
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
Cadwalader, Wickersham & Taft LLP
The U.S. District Court for the Eastern District of New York froze the assets of a "self-described financial guru" charged with defrauding
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On July 31, 2019, Judge George H. Wu of the U.S. District Court for the Central District of California released tentative findings of fact and conclusions of law
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On July 12, 2019, the staff of the Division of Corporation Finance, Division of Investment Management, Division of Trading and Markets, and Office of the Chief Accountant of the SEC issued a public statement...
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IndusLaw
The RBI, on September 1, 2018, released a user manual to clearly set out the procedure for filing a single master form, which it introduced on June 7, 2018, to integrate the existing reporting norms for foreign investment in India.
Proskauer Rose LLP
On June 4, 2019, the U.S. Securities and Exchange Commission (the "SEC") filed a complaint in the Southern District of New York against Kik Interactive Inc. ("Kik") alleging violations of Section 5 of the Securities Act of 1933 (the "Securities Act").
McCarthy Tétrault LLP
Late last week, the NYAG filed a law suit in the Supreme Court of the State of New York against Exxon alleging that Exxon violated, among other things, the securities fraud provisions of a 1921 New York statute...
Singhania & Partners LLP, Solicitors and Advocates
An individual's achievement is often linked to owning a Home or a piece of land or building and the Society is accustomed to judging a person's success in terms of investment in Real Estate.
STA Law Firm
The Indian economy has been marked by many critical structural initiatives which intend to build the strength and substantial growth over the past two decades.
DLA Piper
On June 5, 2019, the Securities and Exchange Commission adopted Regulation Best Interest (Reg BI) and Form CRS.
Shearman & Sterling LLP
On 29 March 2019, ESMA updated its Q&A documents in relation to the implementation of the Market Abuse Regulation (MAR) and the Alternative Investment Fund Manager Directive (AIFMD).
Cleary Gottlieb Steen & Hamilton LLP
On 9 July, the UK Information Commissioner's Office issued a notice of its intention to fine Marriott International, Inc. £99,200,396 for alleged infringements of the EU General Data Protection Regulation ...
Mayer Brown
Business development companies (BDCs) are closed-end investment management companies that are specially regulated by the Investment Company Act of 1940, as amended (the 1940 Act).
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
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