Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of November 20, 2023)
Last week the Commission filed two new cases. One was based on an offering fraud scheme. The second focused on controls. The Enforcement statistics for FY2023 were also published. Be…
Blaneys Appeals
COURT OF APPEAL SUMMARIES (November 13 – November 17)
Jump To: Table of Contents | Civil Decisions | Short Civil Decisions Good afternoon. Following are this week's summaries of the Court of Appeal for Ontario for the week of…
Canadian Lawyer Mag
Appellants residing outside Quebec subject to province’s securities enforcement agency: SCC
Top court said 'analysis must recognize the transnational nature of modern securities regulation'
China Law Insight
《律师事务所从事证券法律业务管理办法》的修订解读
By King & Wood
作者：彭晋 周艳 2023年10月26日，中国证监会和司法部发布《律师事务所从事证券法律业务管理办法》（以下简称《管理办法》或者新规）。这是2007年《律师事务所从事证券法律业务管理办法》（以下简称旧《管理办法》或者旧规）实施16年后的首次修订。 根据中国证监会和司法部《<律师事务所从事证券法律业务管理办法>修订说明》（以下简称《修订说明》），《管理办法》修订主要涉及四个方面的内容：（一）拓展律师事务所从事证券法律业务领域。（二）删除立案调查与业务受理审核挂钩的规定。（三）完善证券法律服务监管规定。（四）加强律师事务所建立健全风险控制制度的要求。 阅读更多
China Law Insight
TOKENISATION OF SECURITIES AND OTHER INVESTMENT PRODUCTS – WHAT, WHY AND KEY CONSIDERATIONS IN HONG KONG AND CHINESE MAINLAND
By King & Wood
Authored by: Richard Mazzochi , 萧乃莹 , 费思 , 虞磊珉 and 石璧宁 Tokenisation is one of the hottest topics in finance circles these days. This article introduces you to what…
The Contingency
Commercial Roundup – November 15, 2023
Welcome to the November 15, 2023 edition of Commercial Roundup. It will catch you up on the latest appellate decisions by federal appellate courts and the highest courts in Delaware,…
The CLS Blue Sky Blog
For Regulators, It’s All About Timing
Regulators have a hard job. Novel financial products are developed and launched all the time. At first, regulators have very little information about these products; it makes sense to let…
SEC Actions
This Week In Securities Litigation (Week of November 13, 2023)
The Commission filed two new actions last week. One centers on an offering fraud; the other is based on a financial. The CFTC published its fiscal year statistics which show…
The D&O Diary
SPAC-Related Suit Shows How Geopolitical Risk Can Translate into Securities Litigation
One factor that contributed significantly to the total number of securities class action lawsuits filed in 2021 and 2022 was the proliferation of SPAC-related securities suit filings. Although diminished in…
Global Regulation Tomorrow
European Parliament publishes adopted text of proposed Regulation amending the CSDR as regards settlement discipline, cross-border provision of services, supervisory cooperation, provision of banking-type ancillary services and requirements for third-country CSDs
On 10 November 2023, the European Parliament published the text that it had adopted at first reading of the proposed Regulation amending Regulation (EU) No 909/2014 as regards settlement discipline,…