Alan Yeung at A&O Shearman

SEC Issues Order Extending Conditional Exemptions from Reporting and Proxy Delivery

As part of its response to the effects and economic disruption that the novel coronavirus disease 2019 (“COVID-19”) is causing to the worldwide economy, on March 25, 2020, the Securities and Exchange Commission (“SEC”) issued...more

4/2/2020 / Coronavirus/COVID-19 , Filing Requirements , Information Statements , Proxy Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

SEC Issues New COVID-19 Disclosure Guidance

As part of its response to the effects and economic disruption that the novel coronavirus disease 2019 (“COVID-19”) is causing to the worldwide economy, on March 25, 2020, the Division of Corporation Finance of the U.S....more

3/30/2020 / Coronavirus/COVID-19 , Disclosure Requirements , Financial Reporting , Financial Statements , New Guidance , Non-GAAP Financial Measures , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

COVID-19: Disclosure and Capital Markets Considerations for US Listed Public Companies

COVID-19: DISCLOSURE AND CAPITAL MARKETS CONSIDERATIONS FOR US LISTED PUBLIC COMPANIES - The outbreak and continuing spread of the novel coronavirus (“COVID-19”) and the related disruption to the worldwide economy are...more

3/18/2020 / Capital Markets , Coronavirus/COVID-19 , Corporate Governance , Disclosure Requirements , MD&A Statements , Publicly-Traded Companies , Relief Measures , Securities and Exchange Commission (SEC) , Securities Litigation

SEC Issues Final Rule to Expand Test-the-Waters Communications to All Issuers

On September 25, 2019, the Securities and Exchange Commission adopted a new rule that will enable all issuers to “test the waters” prior to publicly filing a registration statement. Currently, only emerging growth companies,...more

9/30/2019 / Accredited Investors , Corporate Issuers , Emerging Growth Companies , Gun-Jumping , Initial Public Offering (IPO) , Institutional Investors , New Rules , Public Offerings , Qualified Institutional Buyers , Regulation FD , Rule 163B , Securities Act , Securities and Exchange Commission (SEC) , Testing-the-Waters Communications

Governance & Securities Law Focus: Asia Edition, June 2019

U.S. DEVELOPMENTS - SEC and NYSE/Nasdaq Developments - SEC Proposes to Expand “Testing the Waters” Exemption to Permit Pre-Offering Communications - On 19 February 2019, the Securities and Exchange Commission...more

6/24/2019 / Climate Change , Commission Delegated Regulation , Corporate Governance , Department of Justice (DOJ) , Disclosure Requirements , Dodd-Frank , EU , European Commission , European Securities and Markets Authority (ESMA) , Foreign Corrupt Practices Act (FCPA) , Green Bonds , Greenhouse Gas Emissions , IOSCO , Publicly-Traded Companies , Regulation S-K , Securities and Exchange Commission (SEC) , Securities Litigation , UK , UK Brexit

Governance & Securities Law Focus: Asia Edition, February 2019

In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. ...more

2/14/2019 / Accounting Controls , Annual Reports , Audits , Capital Markets Union , Climate Change , Cooperation , Corporate Governance , Enforcement Actions , EU , European Commission , Foreign Corrupt Practices Act (FCPA) , GAAP , Hong Kong , Private Placements , Proxy Season , UK , UK Brexit

Governance & Securities Law Focus: Asia Edition, October 2018

In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. ...more

10/31/2018 / Corporate Governance , EU , Hong Kong , NYSE , Regulatory Standards , Securities , Securities and Exchange Commission (SEC) , Securities Litigation , UK