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Searching Content indexed under Securities by Hogan Lovells ordered by Published Date Descending.
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1
FIG Bulletin, 6 September 2019
The Financial Conduct Authority (FCA) has updated its webpage on guidance consultation 19/3 (GC19/3), which seeks views on proposed guidance for firms on the fair treatment of vulnerable
UK
10 Sep 2019
2
Third Point To Pay Monetary Penalty To Settle Allegations Of HSR Act Violations
On 28 August 2019 investment advisor Third Point LLC (Third Point) and three funds under its control – Third Point Partners Qualified L.P., Third Point Ultra, Ltd., and Third Point Offshore Fund Ltd. –
United States
6 Sep 2019
3
SEC Proposes To Amend Requirements For Disclosure On Business, Legal Proceedings And Risk Factors
On August 8, the SEC proposed amendments to Regulation S-K to modernize required disclosures on business, legal proceedings and risk factors in Exchange Act and Securitie
United States
28 Aug 2019
4
Equity Capital Markets - Which Market?
The UK has always been a popular destination for UK and overseas companies who are looking to raise finance on a public securities market
UK
27 Aug 2019
5
FIG Bulletin, 16 August 2019
The Financial Conduct Authority (FCA) has published the protocols for the conduct of the "lessons learned" reviews, commissioned by the non-executive directors of the FCA, for:
UK
22 Aug 2019
6
FIG Bulletin, 9 August 2019
The FCA has published the findings of a review into how successfully the SMCR is embedded into the banking sector.
UK
14 Aug 2019
7
FIG Bulletin, 26 July 2019
Fair pricing in financial services: FCA FS19/4 - summary of responses and next steps.
Worldwide
31 Jul 2019
8
FIG Bulletin, 19 July 2019
The FCA has published a speech by Andrew Bailey, Chief Executive of the FCA, given at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York
UK
25 Jul 2019
9
Fig Bulletin, 12 July 2019
The UK Financial Conduct Authority (FCA) has published an update relating to the extension of the senior managers and certification regime (SMCR) to FCA solo-regulated firms
UK
22 Jul 2019
10
The Pacte Act: Changes Impacting French Financial Law
Heralded as a "new step in France's economic transformation", the recently adopted Pacte Act aims to liberate companies from the burden of certain obligations and ensure they are better funded,
European Union
12 Jul 2019
11
Funds Talk: July 2019
In the Chancellorʼs 2019 Mansion House dinner speech, delivered on 20 June 2019, Philip Hammond announced a review of the UK regulatory framework and payments landscape in 2019.
European Union
10 Jul 2019
12
FIG Bulletin, 21 June 2019
On 12 June 2019, the Financial Conduct Authority (FCA) published a final report on its investigation in to RBS treatment of small and medium-sized enterprise (SME) customers transferred to its GRG.
Worldwide
27 Jun 2019
13
The Southern District Of New York Expresses Concern With Government's "Outsourcing" Of Corporate Internal Investigations
In a recent decision that could have critical implications for corporate internal investigations conducted pursuant to a government agency's request, the Southern District of New York expressed concern...
United States
23 May 2019
14
Supreme Court Expands Liability For False Statements Under The Federal Securities Laws
On March 27, the Supreme Court issued its much-anticipated decision addressing whether someone who is not the "maker" of a misstatement can nonetheless be primarily liable for fraud.
United States
30 Apr 2019
15
FIG Bulletin, 5 April 2019
We are delighted to send you our latest e-newsletter, setting out developments from 25 March to 5 April 2019.
Worldwide
29 Apr 2019
16
FIG Bulletin, 8 March 2019
We are delighted to send you our latest e-newsletter, setting out developments from 4th to 8th March 2019.
Worldwide
16 Apr 2019
17
Tender Offers By Brazilian Issuers: Taking Advantage Of Prices Of Debt Securities To Improve Capital Structure
The Brazilian political environment has historically influenced, and continues to influence, Brazilian economic performance.
Brazil
12 Apr 2019
18
Luxembourg Stock Exchange Professional Segments – The Real Impact
The launch of a product in one of the Professional Segments automatically meets the standards for the alleviated prospectus regime.
Luxembourg
10 Apr 2019
19
The Prospectus Regulation Is Coming: Getting Your Debt Prospectuses Ready
The latest piece of the Prospectus Regulation puzzle has arrived.
European Union
10 Apr 2019
20
CONSOB Approach On Initial Coin Offerings (ICOs): How To Make The Most Out Of The Status Quo When Dealing With A New Legal Issue
On the wave of the significant growth of blockchain technology and relevant market awareness of this phenomenon, initial coin offerings had a tremendous boost in the last year, proving to be an alternative way of funding ...
Italy
10 Apr 2019
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