Mondaq USA: Corporate/Commercial Law
On September 13, 2018, the staff of the Division of Investment Management of the SEC withdrew letters previously issued in 2004 to Egan-Jones Proxy Services and Institutional Shareholder Services, Inc. ...
Morrison & Foerster LLP
As a general rule, when a contractor signs a full settlement and release with respect to a dispute with the Government, the dispute is considered settled, and the Government is released...
Mayer Brown
The Securities and Exchange Commission's Division of Economic and Risk Analysis (DERA) has regularly updated its studies regarding the market for unregistered securities offerings.
Mayer Brown
The SEC Staff notes that an intermediary is permitted to have a financial interest in the issuer.
Morrison & Foerster LLP
There is an obligation when acquiring or increasing "control" over a UK authorised person, e.g. an investment firm, a credit institution, a fund manager or a payment services provider, to notify and obtain...
Cooley LLP
Whether that statement was intended to signal an opening was not entirely clear.
As the report illustrates, weaknesses in company policies and procedures and human vulnerabilities ultimately contributed to the success of these schemes.
Cadwalader, Wickersham & Taft LLP
The MSRB proposed to amend Form G-45 to clarify data elements and to require additional data from underwriters of college savings plans ...
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") warned investors of scams and risks concerning marijuana-related investments.
Sheppard Mullin Richter & Hampton
In Flood v. Synutra Int'l, Inc., No. 101, 2018, 2018 Del. LEXIS 460, the Delaware Supreme Court held that a controlling stockholder who pursues a merger with the controlled company will have the benefit of business...
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Kara M. Stein warned of a fast-approaching retirement crisis and suggested ways in which the agency ...
Smith Gambrell & Russell LLP
In no other venue is this voice more obvious than in the economic and investment policies emanating from India since the early 1990s.
This change, as well as specifics from the new 2018 Monitor Memorandum, are detailed below.
Cadwalader, Wickersham & Taft LLP
The MSRB proposal to amend Rule G-3 to establish additional qualification requirements for municipal advisor principals was published in the Federal Register.
Shearman & Sterling LLP
The SEC's Division of Investment Management has issued a no-action letter confirming that the Division's Staff would not object if fund boards cease to make quarterly independent compliance findings
Morrison & Foerster LLP
On October 12, 2018, the staff of the SEC's Division of Investment Management issued a no-action letter to the Independent Directors Council ("IDC") agreeing that the staff will not recommend...
Cooley LLP
The SEC today provided relief for companies and persons directly or indirectly affected by Hurricane Michael and its aftermath.
Hunton Andrews Kurth LLP
On August 17, 2018, the Securities and Exchange Commission ("SEC") voted to adopt amendments to duplicative, overlapping, outdated or superseded disclosure rules for public companies.
Foley Hoag LLP
This week was the Retail Industry Leaders Association (RILA) Retail Law Conference in Austin, Texas.
Cadwalader, Wickersham & Taft LLP
According to the SEC Order, three accountants failed to accurately complete an audit of a company's 2013 Form 10-K.
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Formerly known as the Smaller Business Association of New England (SBANE), the New England Business Association's Senior Executive Circle is a peer-to-peer advisory group...
Troutman Sanders LLP
Non-bank lenders to small businesses need to be on alert after Governor Brown signed California Senate Bill 1235 into law on September 30, 2018.
Jones Day
The Situation: In what may indicate a sea change in terms of who the Department of Justice ("DOJ") is willing to pursue in False Claims Act cases, a private equity firm has been named as a co-defendant in a False Claims Act complaint, along with one of its portfolio companies.
Cooley LLP
In October 2017, the SEC approved the PCAOB's new auditing standard for the auditor's report, AS 3101, The Auditor's Report on an Audit of Financial Statements ...
Akin Gump Strauss Hauer & Feld LLP
The U.S. Securities and Exchange Commission (SEC) staff made official statements regarding when a token may or may no longer be a security.
Ropes & Gray LLP
Notably, the order contained no analysis explaining the basis for the SEC's conclusion that the tokens were securities.
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