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9 Mar 2011, 12:29 pm
Four days later, on December 15, 2008, the Securities Investor Protection Corporation (“SIPC”) filed an application in the District Court alleging that Bernard L. [read post]
8 Mar 2011, 1:59 pm
In Pillsbury’s view, this requirement falls seriously short of both protecting and advancing the interests of investors in such funds. [read post]
8 Mar 2011, 12:56 pm
However, to the extent an investment adviser limits its interaction to non-retail investors in an offering that is exempt from registration under the 1940 Act, the Securities Act of 1933, and applicable state securities law, we do not believe that such licensing standards are properly imposed. [read post]
8 Mar 2011, 8:17 am
In a letter to the SEC, Massachusetts Attorney General Martha Coakley urged the Commission to enforce legal requirements against credit rating agencies established under the Dodd-Frank Act in order to protect investors and avert another lending crisis. [read post]
8 Mar 2011, 8:01 am
For the protection of investors, the face amount certificate companies issuing the certificates are required to maintain certain reserves on all outstanding securities. [read post]
5 Mar 2011, 9:49 am
Expected to be published soon, the study's stated purpose is to "examine the internal operations, structure, funding, and the need for comprehensive reform of the SEC, as well as the SEC's relationship with and the reliance on self-regulatory organizations and other entities relevant to the regulation of securities and the protection of securities investors that are under the SEC's oversight. [read post]
4 Mar 2011, 10:09 am
Ruth Elnekave is an associate practising in the firm’s Toronto office in the area of corporate law with a focus on securities, corporate finance and public and private M&A. [read post]
4 Mar 2011, 4:21 am
Expected to be published soon, the study's stated purpose is to "examine the internal operations, structure, funding, and the need for comprehensive reform of the SEC, as well as the SEC's relationship with and the reliance on self-regulatory organizations and other entities relevant to the regulation of securities and the protection of securities investors that are under the SEC's oversight. [read post]
3 Mar 2011, 12:56 pm
Whistleblowers often provide invaluable information that can help uncover securities fraud and protect investors. [read post]
28 Feb 2011, 12:39 am
" (Though Buffett highlights this approach to D&O insurance as a corporate strength, don’t expect this practice to catch on widely. [read post]
26 Feb 2011, 12:00 pm
Our highly dedicated staff will continue to regulate the securities industry, educate the public, and enforce the law to protect the investing public from financial predators," said Dennis. [read post]
25 Feb 2011, 2:37 pm
They are not permitted to hold CDSs without appropriate underlying securities. [read post]
23 Feb 2011, 5:00 am
What Morrison did not address, however, was whether investors purchasing ADRs in the US could avail themselves to the protections of Section 10(b) and Rule 10b-5. [read post]
22 Feb 2011, 6:31 pm
When investors saw their accounts go up, they had no incentive to explore whether it was the result of misconduct. [read post]
22 Feb 2011, 5:00 am
(“Since the economic value of securities-based swap agreement is intrinsically tied to the value of the reference security, the nature of the reference security must play a role in determining whether a transnational swap agreement may be afforded the protection of Section 10(b). [read post]
21 Feb 2011, 6:45 pm
These investors sued to get their hands on the assets of two Canadian “real estate developers” who used investor funds to finance their lavish lifestyles, purchasing among other things a private plane, a multi-million dollar luxury yacht, and various land holdings around the world. [read post]
21 Feb 2011, 5:00 am
Congress was concerned not about protecting foreign exchanges but about protecting US investors. [read post]
19 Feb 2011, 3:56 pm
The rule is still widely used by social activists, but the rule also is increasingly being used by institutional investors to press matters more closely related to corporate governance. [read post]
17 Feb 2011, 3:17 pm
According to a letter sent from the Securities Investor Protection Corporation to New Jersey congressman Scott Garrett last month, the firm had by that point received $128 million in fees for its work recovering funds for victims of Bernard L. [read post]
17 Feb 2011, 1:26 am
For any questions or more information on these or any related matters, please contact Louis Lehot, John Tishler, Camille Formosa or any attorney in the firm’s corporate and securities practice group. [read post]
