Searching Content indexed under Compliance by Cozen O'Connor ordered by Published Date Descending.
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The Emerging LIBOR Scandal - 3 Point Bulletin
LIBOR, or the London Interbank Offered Rate, is the average interest rate at various maturities at which global banks borrow funds from other banks.
United States
18 Jul 2012
The Implications Of A Cyberattack On Your Securities Portfolio: You May Want To Read Your Holdings’ 10-Ks
So, you think that a corporate cyberattack has nothing to do with you? If so, think again. Indeed, to the extent you own stock or securities, the value of your holdings could be at risk in the event of a cyberattack.
United States
12 Apr 2012
Avoiding FCPA Risks While Doing Business in China
Many companies are doing business, or contemplating doing business, in the People’s Republic of China (the "PRC"). For the past ten or so years, the Chinese markets have been the top emerging markets for foreign direct investment.
United States
23 Nov 2010
Supreme Court Addresses the Constitutionality of Public Company Accounting Oversight Board - PCAOB Actions, Enforcement Proceedings, and Investigations Unaffected
On June 28, 2010, the U.S. Supreme Court issued a much anticipated decision in "Free Enterprise Fund v. Public Company Accounting Oversight Board" (No. 08-861).
United States
12 Jul 2010
FinCEN and Six Other Federal Regulators Issue Joint Guidance on Anti-Money Laundering Compliance
On March 5, 2010, the Financial Crimes Enforcement Network ("FinCEN"), along with six other federal regulatory bodies, issued joint guidance (the "Guidance") to clarify and consolidate those regulators’ expectations regarding financial institutions’ obligations to obtain beneficial ownership information relating to certain customer accounts and relationships in connection with the Bank Secrecy Act ("BSA") and the Anti-Money Laundering ("AML") compliance program (referred to jointly as "BSA/ AML"
United States
21 Apr 2010
First Circuit Dismisses SEC’s Theory Of Liability Under Rule 10b-5(b) For Underwriters
The U.S. Court of Appeals for the First Circuit, sitting "en banc", issued a major blow to the U.S. Securities and Exchange Commission (SEC) on March 10, 2010, when it rejected the SEC’s claims that an underwriter makes implied statements when it disseminates prospectuses.
United States
22 Mar 2010
SEC Proposes Amendments To Rule 10b-18 Safe Harbor For Issuer Repurchases – "Significant Implications For SPAC Acquisitions"
The Securities and Exchange Commission ("SEC") recently proposed amendments to Rule 10b-18 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").
United States
3 Mar 2010
SEC Director Of Enforcement Discusses Changes Within The Division
In a speech before the New York City Bar Association on August 5, 2009, Robert Khuzami, the director of the U.S. Securities and Exchange Commission’s (the “SEC”) Division of Enforcement (the “Division”), discussed the restructuring of and changes in operations within the Division, as well as recent enforcement actions that the Division has initiated.
United States
21 Aug 2009
SEC Makes Short Sale Close-Out Rule Permanent
In October 2008, in response to the unusual U.S. market conditions at that time, the U.S. Securities and Exchange Commission (the “SEC”) enacted temporary Rule 204T, which imposed and enhanced delivery requirements on sales of all equity securities, and temporary Rule 10a-3T, which required the reporting of short-sales by certain institutional investment managers.
United States
6 Aug 2009
Federal Appeals Court Orders SEC To Reconsider Rule 151A Addressing Fixed Indexed Annuities
On July 21, 2009 the United States Court of Appeals for the District of Columbia ordered the Securities and Exchange Commission (“SEC”) to reconsider Rule 151A, a rule classifying indexed annuities as securities and subjecting their offer and sale to the federal securities laws.
United States
27 Jul 2009
SEC Proposes Amendments To Capital Raising & Reporting Rules For Smaller Companies & Approves Guidance On Compliance With Section 404 Of SOX
On May 23, 2007, the U.S. Securities and Exchange Commission ("SEC") proposed a series of measures aimed at modernizing and improving certain requirements with respect to the capital raising and reporting requirements for smaller companies.
United States
5 Jun 2007
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