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Searching Content indexed under Securities by DLA Piper ordered by Published Date Descending.
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Canadian Securities Regulators Propose Eight Initiatives To Reduce Regulatory Burden For Investment ‎Funds‎
On September 12, 2019 the Canadian Securities Administrators ("CSA") published a Notice and Request for Comment on their efforts to Reduce Regulatory Burdens for Investment Fund Issuers
Canada
30 Sep 2019
2
SEC Proposes To Modernize Certain Rules: Transitioning From A Prescriptive To A Principles-Based Approach?
The SEC recently proposed amendments to Regulation S-K related to a registrant's required disclosures concerning the description of its business
United States
12 Sep 2019
3
SEC Issues Guidance On Investment Advisers' Proxy Voting Responsibilities
The Securities and Exchange Commission (SEC) recently issued guidance clarifying the proxy voting responsibilities of investment advisers (IA Proxy Release).
United States
12 Sep 2019
4
PropTech In The United States – Where We're Heading
Tokenization in the real estate sector is the process of creating partial, or "fractionalized," unique digital ownership interests in real estate assets using blockchain-based technology
United States
9 Sep 2019
5
Funds Take Note: Puerto Rico's New Incentives Code Is Now In Effect
The Incentives Code effectively consolidates all tax incentives available for different economic activities in a single code.
UK
21 Aug 2019
6
The ABCs Of ESG
Environmental, Social and Governance, or "ESG" refers to three central factors in measuring the sustainability and ethical impact of investments
Canada
20 Aug 2019
7
Breach And Cyber Incident Reporting: Disclosure Challenges For Public Companies
One of the big corporate governance related stories last month was the settlement agreement between the Securities and Exchange Commission (SEC) and Facebook Inc. arising from the misuse of Facebook user data and disclosures...
United States
14 Aug 2019
8
SEC Chair Clayton Announces New Coordinated Approach To Settlement Negotiations And The Waiver Process
Settlements with the Securities and Exchange Commission (SEC) can trigger a wide array of collateral consequences.
United States
6 Aug 2019
9
Houston, We Have A Breach. Now What? Lessons Learned From The SEC's Facebook Settlement
In late July 2019, Facebook Inc. entered into a settlement with the Securities and Exchange Commission (the SEC) for making misleading disclosures
United States
5 Aug 2019
10
The Prospectus Regulation Entered Into Force And Now Applies In Full
On Sunday, 21 July 2019, the Prospectus Regulation (Regulation EU/2017/1129, the "Prospectus Regulation") entered into force, replacing the prospectus directive as implemented within the EU.
UK
29 Jul 2019
11
New Belgian Prospectus Law Enters Into Force
Belgium fittingly celebrated its national holiday with the entering into force of its new prospectus act.
Belgium
26 Jul 2019
12
SEC And FINRA Issue Joint Statement On Broker-Dealer Custody Of Digital Asset Securities
On July 8, 2019, the Securities and Exchange Commission and the Financial Industry Regulatory Authority issued a long-awaited Joint Statement addressing the ways in which the federal securities laws
UK
22 Jul 2019
13
Shareholder Efforts To Bootstrap FCPA Violations Into Private Securities Cases Meet With Mixed Success – Key Takeaways
The absence of a private right of action under the Foreign Corrupt Practices Act (FCPA) has motivated plaintiffs' attorneys to pursue indirect legal theories
United States
18 Jul 2019
14
SEC Adopts Conduct Rules And Interpretations Affecting Broker-Dealers And Investment Advisers – Compliance Date: June 30, 2020
On June 5, 2019, the Securities and Exchange Commission adopted Regulation Best Interest (Reg BI) and Form CRS.
United States
15 Jul 2019
15
Blockchain And Digital Assets News And Trends
To remain competitive, companies find themselves increasing their efforts to digitally transform their businesses by developing new offerings based on emerging technologies
UK
15 Jul 2019
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