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Bennett Jones LLP

TSX Venture Exchange Updates Escrow Policy for New Listings

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The TSX Venture Exchange (TSXV) has announced updates to its policy on escrow and resale restrictions. The immediately effective updates amended and renamed Policy 5.4 – Capital Structure, Escrow and Resale Restrictions (New...more

Snell & Wilmer

SEC Division of Examinations Priorities for 2025: Examinations Will Prioritize New Rules for Form PF and Regulation S-P, Fiduciary...

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On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) issued its annual examination priorities for fiscal year 2025. As with its 2024 examination...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - September 2023

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Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

Lowenstein Sandler LLP

Recent Developments in FINRA’s Award of Credit for Extraordinary Cooperation Offers Guidance to Member Firms

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In 2020, the Financial Industry Regulatory Authority Inc. (FINRA) settled alleged rule violations with various large investment firms, including Merrill Lynch, Citigroup Global Markets Inc. (CGMI), Transamerica Financial...more

Pillsbury Winthrop Shaw Pittman LLP

European Businesses Offering Payment Services Told How to Manage Operational and Security Risks

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Payment service providers operating in the EU must take note of new risk management requirements from the European Banking Authority. The European Banking Authority’s operational and risk management guidelines apply to all...more

K2 Integrity

Political Crisis in Spain

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Following the 1 October referendum on the independence of Catalonia and the national police’s actions to prevent the referendum—which many viewed as both disproportionate and ineffective—the president of the Generalitat of...more

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