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18 Nov 2011, 6:34 am
Additionally, a federal grand jury in San Juan, Puerto Rico, returned an indictment against Frank Peake, the former president of Sea Star Line, for his role in the same conspiracy. [read post]
6 Feb 2022, 1:30 pm
Paragraph 19 of the agreement contains a choice of law provision, which provides that ‘‘this agreement and the rights of the parties hereunder shall be determined, governed by and construed in accordance with the internal laws of the state of California without regard to conflicts of laws principles. [read post]
23 Mar 2012, 6:58 am
(The First Seven Months of the SEC Dodd Frank Whistleblower Program) By Guest Columnist: Donna Boehme Principal at Compliance Strategists LLC and editor of the weekly CS Newsflash So far, the sky has not fallen. [read post]
21 Mar 2017, 5:00 am
Rather, the court held that the Dodd-Frank provision “unambiguously protects from retaliation all those who report to the SEC and who report internally. [read post]
14 Mar 2017, 1:54 pm
Neo@Ogilvy LLC, the Ninth Circuit panel held that Dodd-Frank protections apply to internal whistleblowers. [read post]
30 Apr 2021, 3:58 am
Finally, a federal appellate court tries to explain that what's temporary (as in a restraining order) may prove to be a somewhat unappealing bit of permanence.2007: A Game of Finders KeepersWe begin this tortured tale with Frank Chatburn, who was an owner/investment advisor with Biscayne Capital, which covers both Biscayne Capital International, LLC (a U.S. registered investment advisor) and Bisca... [read post]
21 Oct 2013, 2:32 pm
FMR, LLC, Dkt. [read post]
21 Dec 2007, 6:09 pm
(and related entities) Fried Frank Harris Shriver and Jacobson Hutchison Telecommunications International Ltd (and related entities) Kirkpatrick and Lockhart Preston Gates Ellis LG Electronics Mobilecomm U.S.A., Inc. [read post]
12 Nov 2010, 5:46 am
Cosgrove Law, LLC has previously written about the specific provisions in Section 922, which an in-depth discussion of this Section can be found here. [read post]
9 Feb 2016, 7:47 am
Morgan Stanley Smith Barney LLC, February 4, 2016).District court action. [read post]
10 Feb 2015, 8:20 am
Neo@Ogilvy LLC, February 6, 2015).Underlying allegations. [read post]
13 Dec 2011, 12:25 pm
Boehme is the principal at Compliance Strategists LLC in New Providence, New Jersey, a former chief compliance and ethics officer, a member of the Society of Corporate Compliance and Ethics’s Advisory Board, and the editor of the weekly CS Newsflash. * Legal Intern David Kutch contributed to this posting. [read post]
8 Mar 2018, 6:21 am
Somers which held that an employee who merely reports potential securities law violations internally has not done enough to avail himself of the extensive Dodd-Frank anti-retaliation protections, including “the immediate access to federal court, a generous statute of limitations (at least six years), and the opportunity to recover double backpay. [read post]
2 May 2013, 5:09 am
Combined with the Dodd-Frank mandate requiring hedge fund and private equity fund managers to register as investment advisers, the demand for outsourced compliance consulting services has dramatically increased. [read post]
27 Nov 2011, 1:55 am
On December 1st and 2nd Private Equity International (PEI) will be hosting a Fund Compliance Forum in San Francisco. [read post]
29 Apr 2013, 10:51 am
Lobbyist registration International blue sky law analysis Review of secondary transfers Form PF Internal marketing of compliance Tracking regulatory changes EU’s AIFMD FCPA Is there personal liability for CCOs? [read post]
1 May 2013, 7:00 am
Lobbyist registration International blue sky law analysis Review of secondary transfers Form PF Internal marketing of compliance Tracking regulatory changes EU’s AIFMD FCPA Is there personal liability for CCOs? [read post]
16 Jul 2012, 3:00 am
Cooper (In re LLS America, LLC) (Bankr. [read post]
8 Oct 2011, 9:45 am
At this informative event, professionals from the industry will discuss various hot topics including: Registration requirements Restructuring considerations Implementation and best practices Focus areas of SEC examinations Cost effective ways to comply with Dodd-Frank Featured Panelists Winston Wilson - National Financial Services Sector Leader, Grant Thornton LLP Mark Catalano - Director, Deutsche Bank, Alternative Fund Services Chris Lombardy - Member,… [read post]
19 Jul 2012, 11:53 am
The authority to designate financial market utilities is an important component of the Dodd-Frank Act and is one of a number of tools now available to constrain risk and help protect against future financial crises.The designated financial market utilities are: The Clearing House Payments Company, L.L.C., on the basis of its role as operator of the Clearing House Interbank Payments System; CLS Bank International; Chicago Mercantile Exchange, Inc.; Depository Trust… [read post]
