ESMA News

ESMA Newsletter – Nº18

25 November ESMA sets out its final view on the derivatives trading obligation (DTO) The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has released a public statementthat clarifies the application of the European Union’s (EU) trading obligation for derivatives (DTO) following the end of the UK’s transition from the EU on […]

SEC News

SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers

Washington D.C., Nov. 24, 2020 — The Securities and Exchange Commission today announced that it has voted to propose amendments to Securities Act Rule 701, which provides an exemption from registration for the issuance of compensatory securities by non-reporting issuers, and Form S-8, the Securities Act registration statement for compensatory offerings by reporting issuers.  Additionally, […]

SEC News

SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-8

Washington D.C., Nov. 24, 2020 — The Securities and Exchange Commission today voted to propose rules that, on a temporary basis and subject to percentage limits (no more than 15% of annual compensation), dollar limits (no more than $75,000 in three years) and other conditions, would permit an issuer provide equity compensation to certain “platform […]