Search for: "Bruce S. Frank"
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31 May 2013, 7:57 am
The point of Dodd-Frank’s re-allocation of oversight, after all, was to increase examinations of investment advisers. [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
5 Apr 2013, 1:53 am
Bruce, Michael and Christina’s guest post follows: The Dodd-Frank say-on-pay strike suits, if not yet dead, are close. [read post]
17 Jan 2013, 6:36 am
In a recent speech before the Regulatory Compliance Association,1 Bruce Karpati, Chief of the Securities and Exchange Commission’s Enforcement Division’s Asset Management Unit, suggested where the SEC may be heading regarding hedge fund oversight in the months to come. [read post]
3 Dec 2012, 7:00 am
The Dodd-Frank Act impacts all banks, whether or not they are large enough to require examination by the Consumer Financial Protection Bureau. [read post]
27 Nov 2012, 2:00 am
The Dodd-Frank Act impacts all banks, whether or not they are large enough to require examination by the Consumer Financial Protection Bureau. [read post]
21 Nov 2012, 9:23 am
So let's cut to the chase. [read post]
19 Nov 2012, 12:08 pm
Murtagh, Criminal Court of the City of New York: Special Sessions: County of New York: Part 2B: Frank S. [read post]
31 Oct 2012, 1:48 am
In short, the plaintiffs’ shareholders bar continues to explore options to take advantage of the Dodd-Frank Act’s say on pay provisions. [read post]
31 Oct 2012, 1:48 am
In short, the plaintiffs’ shareholders bar continues to explore options to take advantage of the Dodd-Frank Act’s say on pay provisions. [read post]
31 Oct 2012, 1:48 am
In short, the plaintiffs’ shareholders bar continues to explore options to take advantage of the Dodd-Frank Act’s say on pay provisions. [read post]
22 Oct 2012, 1:36 am
"The analytics put Yorkville front and center on our radar screen,” said Bruce Karpati, Chief of the SEC Enforcement Division’s Asset Management Unit. [read post]
19 Oct 2012, 2:00 am
Highlights include Pandit’s abrupt exit, some surprising side-effects of FCPA enforcement, examining what’s better than Dodd-Frank and more. [read post]
16 Oct 2012, 8:32 pm
One thing is for sure--Romney's view that cutting tax rates across the board by 20% will jump-start the economy is "nonsense", as even conservative GOP economist Bruce Bartlett acknowledges. [read post]
26 Sep 2012, 5:39 am
http://bit.ly/Q1JmME (Bruce Raymond) Authentication of Website Evidence – Printouts of Web Pages - http://bit.ly/Pf3pnY (Gregory Joseph) Case Commentary: Breezeway Overseas Ltd & Another v UBS AG & Others [2012] - http://bit.ly/Pjbg3X (Serena Lim) Changes Coming in the Litigation and eDisclosure Landscape - http://bit.ly/PfIL76 (Chris Dale) Court Shifts Costs to Putative Class Action Plaintiffs Prior to Class Certification –… [read post]
24 Sep 2012, 7:47 am
Arthur Frank testified that the fibers in RTV’s talc caused Mr. [read post]
8 Aug 2012, 8:00 am
The Chief Financial Officer, Bruce R. [read post]
30 Jul 2012, 5:00 am
Franke Gender & Sexuality Law Blog Columbia M Ronald Mann SCOTUS Blog Columbia M Matthew Waxman Lawfare Columbia M Dennis Crouch Consumer Law & Policy Blog Connecticut F Alexandra D. [read post]
