Tag Archives: capital markets

ILN Today Post
May 13, 2020

RECAP OF THE OSC’S SEMINAR: COVID-19 — CONTINUOUS DISCLOSURE OBLIGATIONS AND CONSIDERATIONS FOR SMES

By Fogler, Rubinoff LLP

The Ontario Securities Commission (the “OSC“) hosted a presentation entitled “Continuous Disclosure Obligations and Considerations for Small and Medium Enterprises” (“SMEs“) on May 6, 2020 (the “Presentation“). The purpose of this article is to summarize some of the key points discussed during the Presentation, with a particular focus on management’s discussion and analysis (“MD&A“), financial information, material change reports (“MCRs“) and temporary relief for executive compensation disclosure. Read the full article.

Posted in Banking & Finance
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ILN Today Post
April 23, 2020

GET A HEAD START — AVOID PROSPECTUS APPROVAL DELAYS BY PRE-FILING A PROSPECTUS ON A CONFIDENTIAL BASIS

By Fogler, Rubinoff LLP

On March 5, 2020 the Canadian Securities Administrators (the “CSA“) introduced a harmonized process for full reviews of prospectuses on a confidential pre-filing basis for non-investment issuers (the “Pre-File Process“). The concept of pre-filing a prospectus for comment is not new, however it was previously applied inconsistently by the various regulators. This prompted the CSA to respond by releasing its Staff Notice 43-310 — Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) (the “Staff Notice“) to help harmonize the pre-filing process, and to help issuers obtain more certainty and flexibility in prospectus offerings. Read the full article.

Posted in Banking & Finance
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ILN Today Post
April 16, 2020

TSXV ANNOUNCES TEMPORARY RELIEF OF $0.05 MINIMUM PRICING REQUIREMENT

By Fogler, Rubinoff LLP

Pursuant to a bulletin issued on April 8, 2020, the TSX Venture Exchange (“TSXV“) implemented further temporary relief measures (the “Temporary Relief“) in response to the COVID-19 pandemic, regarding its $0.05 minimum pricing requirement. Read the full article

Posted in Banking & Finance
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August 8, 2019

Financial Services in Focus – Issue 28

By Hall & Wilcox

Funds and financial products

APRA releases update to its responses to the Royal Commission recommendations

On 7 August, APRA released its updated plans in relation to specific recommendations in the Final Report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.

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Posted in Asia Pacific | Legal Updates
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May 28, 2018

Financial Services in Focus – Issue 3

By Hall & Wilcox

Funds and financial products

Legislation introduced regarding the second and final phase of ASIC fee-for-services industry funding model

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Posted in Asia Pacific | Legal Updates
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ILN Today Post
September 12, 2017

Motivating and rewarding key employees through share-based incentives

By Fladgate LLP of Fladgate LLP

There are various ways to motivate and reward key employees through share-based incentives.

The optimum structure for any given company will depend on its specific circumstances and commercial objectives.

Enterprise Management Incentive (EMI) option plans are widely recognised as an attractive and very tax efficient structure and are therefore the first port of call for many of our clients.

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Posted in Europe | Legal Updates
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ILN Today Post
May 1, 2015

Standard listings – current trends

By Fladgate LLP

Background

A couple of years ago we wrote about Standard listings on the Main Market of the London Stock Exchange (LSE), principally in connection with cash shell or SPAC entities (‘Cash Shells and Standard Listings’). At that time there had been a limited number of such listings, following the deregulation of the UK Listing Authority’s listing regime in April 2010 to allow a broader range of companies (whether overseas or UK companies) to elect to join the Standard segment of the UKLA’s Official List and trade on the Main Market. More…

Posted in Europe | Legal Updates
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ILN Today Post
September 19, 2014

Standard listings – current trends

By Fladgate LLP

Background

A couple of years ago we wrote about Standard listings on the Main Market of the London Stock Exchange (LSE), principally in connection with cash shell or SPAC entities (‘Cash Shells and Standard Listings’). At that time there had been a limited number of such listings, following the deregulation of the UK Listing Authority’s listing regime in April 2010 to allow a broader range of companies (whether overseas or UK companies) to elect to join the Standard segment of the UKLA’s Official List and trade on the Main Market. More….

Posted in Europe | Legal Updates
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August 31, 2014

Slow progress 2014/8/31

By Zhong Lun Law Firm of Zhong Lun Law Firm

Kejun Guo and Chen Jia of Zhong Lun Law Firm look at the latest developments in capital markets, including the reforms to the share offering system

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Posted in Asia Pacific | Legal Updates
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ILN Today Post
May 3, 2013

UK securities law issues for overseas issuers and financial advisers

By Fladgate LLP

International companies continue to treat London as a key destination for raising institutional finance. Furthermore, of the firm offers announced in 2012 for companies subject to the UK Takeover Code (being, principally, UK corporations listed on the United Kingdom Listing Authority’s Official List and traded on the London Stock Exchange Main Market or listed on the AIM market of the London Stock Exchange), over half were made by non-UK bidders (including nine US and four Canadian bidders). More recently, on 1 March 2013 AIM and TSX-listed Ithaca Energy announced a $309 million cash and shares offer for Valiant Petroleum plc. Other corporate transactions may involve UK securities law considerations, such as a rights issue where an issuer has UK shareholders on its register. More…

Posted in Europe | Legal Updates
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