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Sep 22, 2014

SEC Compliance Manuals for NYSE and NASDAQ Listed Non-US Companies

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Our two compliance manuals—one for NYSE-listed non-US companies and one for NASDAQ-listed non-US companies—summarize the primary reporting obligations and other duties imposed by the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act of 2002 and other US securities laws upon a non-US company as an SEC registrant and upon its officers, directors and certain of its shareholders. They also summarize the reporting obligations and other duties that are imposed as a result of the company's listing on the New York Stock Exchange or NASDAQ Stock Market, Inc. In addition, these manuals provide guidance on recommended best practice for compliance with the various US securities and NYSE or NASDAQ regulations, as applicable, and links to relevant regulatory compliance tools.

View the SEC Compliance Manual for NYSE-Listed Non-US Companies

View the SEC Compliance Manual for NASDAQ-Listed Non-US Companies

Authors and Contributors

Tobia Croff

Partner

Capital Markets

+39 02 0064 1509

+39 02 0064 1509

Milan

David Dixter

Partner

Capital Markets

+44 20 7655 5633

+44 20 7655 5633

London

Domenico Fanuele

Partner

Capital Markets

+39 06 697 679 210

+39 06 697 679 210

Rome

Sami Toutounji

Partner

Compensation, Governance & ERISA

+33 1 53 89 70 62

+33 1 53 89 70 62

Paris

Robert Ellison

Partner

Capital Markets

+55 11 3702 2220

+55 11 3702 2220

São Paulo

Stuart K. Fleischmann

Partner

Capital Markets

+1 212 848 7527

+1 212 848 7527

New York

Christopher Forrester

Partner

Capital Markets

+1 650 838 3772

+1 650 838 3772

Menlo Park

Stephen T. Giove

Partner

Capital Markets

+1 212 848 7325

+1 212 848 7325

New York

Jason Lehner

Partner

Capital Markets

+1 416 360 2974

+1 416 360 2974

Toronto

Manuel A. Orillac

Partner

Capital Markets

+1 713 354 4886

+1 713 354 4886

Houston

Antonia E. Stolper

Partner

Capital Markets

+1 212 848 5009

+1 212 848 5009

New York

Matthew Bersani

Partner

Capital Markets

+852 2978 8096

+852 2978 8096

Hong Kong

Masahisa Ikeda

Partner

Capital Markets

+1 212 848 5378

+1 212 848 5378

New York

Kyungwon (Won) Lee

Partner

Capital Markets

+1 212 848 8078

+1 212 848 8078

New York

Andrew Schleider

Partner

Capital Markets

+65 6230 3882

+65 6230 3882

Singapore