If this email is not displayed correctly please click here

Capital Markets

23 April 2019
Kelley Howes SEC announces settlements resulting from Share Class Selection Disclosure Initiative

USA - Morrison & Foerster LLP

The Securities and Exchange Commission (SEC) recently announced settlements with 79 investment advisers who self-reported violations of the Investment Advisers Act in connection with the SEC Division of Enforcement Share Class Selection Disclosure Initiative. The advisers collectively agreed to return more than $125 million in fees and prejudgment interest to clients.

Author: Kelley Howes
Read more

Recent updates

David M Lynn SEC proposes to expand 'test-the-waters' accommodation

USA - Morrison & Foerster LLP

Author: David M Lynn
Madalina Neagu Exit strategies: registering a share transfer when target shares are encumbered by third parties

Romania - Schoenherr

Authors: Madalina Neagu, Iulia Caizer
Takashi Tsukioka Determining recoverable damages following material misstatements in securities registration statements

Japan - Nagashima Ohno & Tsunematsu

Author: Takashi Tsukioka

ONLINE MEDIA PARTNERS