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11/11/2009 2:07:03 PM EST
Regulation S-AM is designed to prevent registered investment advisers, investment companies, broker-dealers and registered transfer agents ("Covered Persons") from using cert ... Create an account or login to post comments. | Comments (0)
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11/10/2009 9:55:43 AM EST
Proposed legislation would require managers of private investment funds to register with the SEC as investment advisers under the Investment Advisers Act. Currently, most private fund ... Create an account or login to post comments. | Comments (0)
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11/9/2009 3:33:09 PM EST
The Robinson-Patman Act states that it is against the law for those engaged in commerce to discriminate in price, services, or facilities when such discrimination may substantially les ... Create an account or login to post comments. | Comments (0)
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11/4/2009 2:13:12 PM EST
Mary Schapiro, Chairman of the SEC, and Robert Khuzami, Director of the SEC Enforcement Division, have taken a number of steps to revamp the SEC's enforcement division. In this Analysi ... Create an account or login to post comments. | Comments (0)
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10/27/2009 2:56:31 PM EST Posted by Henry C. Blackiston, Esq.Senior Counsel, Employee Benefits & Executive Compensation Department of Seyfarth Shaw LLP More than 90 companies have been investigated by federal prosecutors, regulators, or independent board committees for backdating stock option grants. This Commentary expands the discussion by ... Create an account or login to post comments. | Comments (0)
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10/26/2009 3:56:54 PM EST
Incorporators, officers, directors, and employees of business entities should always clearly indicate when they are acting on behalf of an organization. Continue reading >>Comments (0)
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10/26/2009 3:49:43 PM EST
A swap agreement between Metavante and Lehman excused Metavante from making scheduled swap payments to Lehman in the event of a default. In Lehman’s Chapter 11 bank ... Create an account or login to post comments. | Comments (0)
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10/20/2009 11:20:46 AM EST Posted by Marie E. PicardVice President and Counsel, ING Investment Management
Designed to further regulatory reform, the Private Fund Investment Advisers Registration Act of 2009 (Proposed Act) would expand the pool of investment advisers required to register wi ... Create an account or login to post comments. | Comments (0)
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10/20/2009 11:30:11 AM EST Posted by Rosyln Tom, Neil T. Reddy & Ed SpaethPartner, Baker & McKenzie LLP; Associate, Baker & McKenzie LLP; and Vice President and Lead Content Acquisition & Publishing Counsel, LexisNexis, respectively
The courts will use the standard of "entire fairness" to evaluate the decisions of a board where the plaintiff has rebutted the presumption of the business judgment rule by p ... Create an account or login to post comments. | Comments (0)
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10/19/2009 4:54:53 PM EST Traditional notions of compliance budgeting no longer apply to today’s rigorous requirements. As a result, the compliance officer needs to make a case for funding, as does every other co ... Create an account or login to post comments. | Comments (0)
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