Mar 3 2015 |
Lessons from the OECD Foreign Bribery Report: Organization for Cooperation and Economic Development |
Mintz |
Mar 3 2015 |
Two-Factor Authentication May Be Coming to a Bank Near You |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Mar 2 2015 |
SEC Provides Guidance on Receipt of Gifts by Fund Advisory Personnel |
Faegre Drinker |
Mar 2 2015 |
Bridging the Week: CCP Report Cards; HFTs; Wash Trades; CFTC Lawsuit Against Attorney; Insider Trading; Conflicts [VIDEO] |
Katten |
Mar 2 2015 |
Federal Reserve Remains Under Scrutiny; CFTC Reopens Comment Period On Position Limits, Staff To Hold Roundtable |
Squire Patton Boggs (US) LLP |
Mar 2 2015 |
Goodyear Settles SEC’s FCPA Charges for $16M – Investigation Underscores Importance of Pre-Acquisition Due Diligence and Oversight of Foreign Subsidiaries |
Faegre Drinker |
Mar 2 2015 |
Broad Coalition Delivers Blunt Rebuke To SEC Chairman |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 1 2015 |
SEC Continues to Investigate Contractual Impediments to Whistleblower Complaints |
Proskauer Rose LLP |
Mar 1 2015 |
M and A Due Diligence Failures: FCPA and Goodyear |
Barnes & Thornburg LLP |
Feb 27 2015 |
Second Circuit Holds That SIPA Does Not Permit an Inflation or Interest Adjustment to “Net Equity” Claims For Customer Property |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 27 2015 |
Goodyear Pays for Sins of Subsidiaries in $16 Million Settlement |
Proskauer Rose LLP |
Feb 27 2015 |
ESMA and JFSA Conclude a Memorandum of Understanding Regarding CCPs |
Katten |
Feb 27 2015 |
Highlights from SEC Speaks 2015: Enforcement and Litigation Trends |
Vedder Price |
Feb 27 2015 |
Is Anything Fishy With The SEC’s Whistleblower Inquiries? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 27 2015 |
Another SEC Whistleblower Amicus Brief On Whether Dodd-Frank Covers Internal Complaints |
Proskauer Rose LLP |
Feb 26 2015 |
California Corporate Securities: Finders Bill Was Lost, But Now Is Found - AB 667 |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 25 2015 |
Goodyear’s Settlement with the SEC Emphasizes the Importance of FCPA Due Diligence in M&A Transactions and of Having a Robust Anti-Corruption Policy |
Mintz |
Feb 24 2015 |
SEC Proposes Disclosure Rule for Hedging Transactions by Directors, Officers and Employees |
McDermott Will & Emery |
Feb 24 2015 |
FINRA Issues Guidance on Materiality Consultations - Financial Industry Regulatory Authority |
Morgan, Lewis & Bockius LLP |
Feb 23 2015 |
SEC Timeout on Proxy Access Issue Has Wider Implications |
Proskauer Rose LLP |
Feb 23 2015 |
AML; Block Trades; EFRPs; Conflicts; Insider Trading - Bridging the Week: February 16 to 20 and 23, 2015 [VIDEO] |
Katten |
Feb 23 2015 |
Revised Clayton Act/Hart-Scott-Rodino Premerger Notification Thresholds for 2015 |
Greenberg Traurig, LLP |
Feb 23 2015 |
To Conjoin Or Not To Conjoin – California Sometimes Gets It Wrong |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 23 2015 |
Publicly Traded Companies and the Task of Succession Planning |
McBrayer, McGinnis, Leslie and Kirkland, PLLC |
Feb 22 2015 |
What Threats Can Muffle a Corporate Action? FINRA May Rely on SEC Enforcement Proceedings |
Proskauer Rose LLP |
Feb 20 2015 |
New York Amends its UCC, but Problems Remain |
Greenberg Traurig, LLP |
Feb 20 2015 |
SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers |
Katten |
Feb 20 2015 |
Georgia Investment Advisor Launches Article II Constitutional Challenge to the SEC’s Use of ALJs – And Seeks Discovery |
Greenberg Traurig, LLP |
Feb 20 2015 |
A Win for Nonsettling Defendants Facing Securities Act Claims |
Morgan, Lewis & Bockius LLP |
Feb 20 2015 |
ESMA Publishes Additional Consultation Paper on MiFID II/MiFIR Implementation |
Katten |
Feb 20 2015 |
SEC Staff Views on Reg. AB II and Other New Regulatory Issues Begin to Emerge |
Morgan, Lewis & Bockius LLP |
Feb 20 2015 |
Indicate By Check Mark If This Instruction Makes No Sense: √ |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 19 2015 |
Whole Foods: SEC’s Rule 14a-8 Volte-Face Is Pointlessly Outré But It Does Have Real World Ramifications |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 18 2015 |
SEC and FINRA Issue Results of Cybersecurity Examinations |
Vedder Price |
Feb 18 2015 |
Does The SEC Have Hedging Backwards? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 17 2015 |
UK Financial Conduct Authority (FCA) Releases Updated Transaction Reporting User Pack |
Katten |
Feb 17 2015 |
SEC Proposes Dodd-Frank Disclosure Rule Regarding Hedging Policies |
Hunton Andrews Kurth |
Feb 17 2015 |
Eleventh Circuit Affirms Arbitration Dismissal in Favor of Investor’s Estate in Clawback Suit |
Katten |
Feb 17 2015 |
SEC Proposes Rules for Disclosure of Companies’ Hedging Policies |
Katten |
Feb 17 2015 |
Agencies Issue Tool for Calculating Capital Requirements for Securitization Exposures |
Katten |
Feb 17 2015 |
Revealed! The Numbers The California Attorney General Didn’t Want You To See re: Whistleblowers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 17 2015 |
FDIC Issues Private Letter to Elaborate on Brokered Deposit FAQ |
Katten |
Feb 17 2015 |
SEC Publishes Rules for Reporting Security-Based Swaps |
Katten |
Feb 17 2015 |
Dodd-Frank Wall Street Reform Act: SEC Proposes Rules for Hedging Policy Disclosure |
Bracewell LLP |
Feb 16 2015 |
OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks |
Katten |
Feb 16 2015 |
Hat in Hand for Budget; OCR; Overcharges; Swaps Clearing and Execution - Bridging the Week: February 9 to 13 and 16, 2015 |
Katten |
Feb 13 2015 |
SEC “Claws Back” Bonuses and Stock Sale Profits From CFOs of Public Company Charged With Accounting Fraud |
Faegre Drinker |
Feb 13 2015 |
SEC Sanctions Chinese Accounting Firms for Refusal to Surrender Documents |
McDermott Will & Emery |
Feb 13 2015 |
Did The SEC Violate The Administrative Procedure Act? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 12 2015 |
SEC and FINRA Publish Materials Addressing Cybersecurity |
Morgan, Lewis & Bockius LLP |