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12 Dec 2017, 4:36 pm by Kevin LaCroix
Co-director of enforcement Stephanie Avakian touted the Cyber Unit’s second ICO enforcement action, stating: “We will continue to scrutinize the ICO market vigilantly for improper offerings that seek to sell securities to the general public without the required registration or exemption. [read post]
8 Dec 2017, 8:51 am by Garrett Hinck
Peter Margulies summarized oral arguments at the Ninth Circuit Court of Appeals in Hawaii v. [read post]
30 Nov 2017, 10:20 am by Vanessa Sauter
Tom Cotton, a republican from Arkansas, would replace Pompeo as CIA director. [read post]
1 Nov 2017, 8:59 am by Garrett Hinck
Special Counsel Robert Mueller will interview Hope Hicks, White House communications director, according to Politico. [read post]
23 Oct 2017, 4:22 pm by Kevin LaCroix
The board implemented those recommendations.[16] The Court agreed with the board’s stated reasons for demand refusal, namely that commencing a suit would impair Wyndham’s ability to defend against the FTC suit. [read post]
23 Oct 2017, 4:22 pm by Kevin LaCroix
The board implemented those recommendations.[16] The Court agreed with the board’s stated reasons for demand refusal, namely that commencing a suit would impair Wyndham’s ability to defend against the FTC suit. [read post]
15 Sep 2017, 6:10 am
Posted by William Magnuson, Texas A&M Law School, on Wednesday, September 13, 2017 Tags: Algorithmic trading, Banks, Bitcoin, Crowdfunding, Dodd-Frank Act, Financial crisis, Financial institutions, Financial regulation, Financial reporting, Financial technology, Innovation, International governance, Market efficiency, Moral hazard, SIFIs, Systemic risk OCC Stakes Out a Lead Role in Establishing New… [read post]
4 Sep 2017, 2:20 pm by Kevin LaCroix
  Two of President Trump’s appointments have the greatest potential to have a significant impact on companies and their directors and officers. [read post]
9 Aug 2017, 3:36 pm by Theodore R. Flo
The court in this case ignored these substantial differences between the CFPB Director and the inferior officer approved in Morrison v. [read post]
2 Aug 2017, 9:43 am by Amanda Pickens
July 17, 2017) (one of three putative class action lawsuits brought by shareholders of Capital Bank Financial Corp. under federal securities laws against the Bank and its board of directors alleging defendants failed to disclose material information related to its proposed merger with First Horizon National Corporation and seeking to enjoin the upcoming shareholder vote. [read post]
21 Jul 2017, 6:04 am
Mendelsohn, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, July 15, 2017 Tags: Anti-corruption, Disgorgement, DOJ, FCPA, Misconduct, SEC, SEC enforcement, Securities enforcement, Supreme Court Balancing the Governance of Financial Institutions Posted by David Min, University of California, Irvine, on Sunday, July 16, 2017 Tags: Agency costs, Banks, Dodd-Frank Act, Failed… [read post]
9 Jun 2017, 6:06 am
Brownback, Fried, Frank, Harris, Shriver & Jacobson LLP, on Sunday, June 4, 2017 Tags: Banks, Charter & bylaws, Compliance & ethics, Financial institutions, Financial regulation, Financial technology, New York, OCC, Securities litigation, Securities regulation, State law, U.S. federal courts On Long-Tenured Independent Directors Posted by Stefano Bonini, Stevens Institute of Technology, on Monday,… [read post]
2 Jun 2017, 6:25 am
Bank Governance and Systemic Stability: The “Golden Share” Approach Posted by Saule T. [read post]