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14 Feb 2018, 2:57 pm by Kevin LaCroix
The petitioner/defendant in Kokesh was an investment advisor who provided advice to business-development companies. [read post]
1 Feb 2018, 10:52 am
[Il s’efforce d’atténuer les risques de violation des droits fondamentaux et des droits de l’Homme en favorisant leur prise en compte dès le stade du conseil ou de l’assistance dans l’élaboration d’accords ou de contrats.]The Professional Code of Conduct is available here: https://lnkd.in/eUVT-NK. [read post]
30 Jan 2018, 7:31 am
This E.U. initiative produced little interest in the United States, as its press and elites are busy either obsessing about other events deemed more interesting (to them), or in the context of U.S. [read post]
29 Jan 2018, 11:28 pm by Kevin LaCroix
 In other words, the lawyers in the NSMC case had a duty to guard the gate and they failed to do so. 1980s: The S&L Cases Stanley Sporkin would once again encounter the gatekeeper issue some 15 years after his victory in the NSMC case, this time from the other side of the fence, after he had moved on from SEC enforcement division director to become a U.S. [read post]
29 Jan 2018, 11:02 am
Therefore, the statute creates a need for robust due diligence, monitoring, and management programs over business partners and other third parties.The statute also establishes successor liability in cases of merger, acquisition or other forms of corporate transformation. [read post]
22 Jan 2018, 2:29 pm by Edward Eisert
Accordingly, the SEC amended the definition of “assets under management” in Rule 203(m) to exclude the assets of “small business investment companies. [read post]
7 Jan 2018, 3:45 am by Lorene Park
• Others who might be liable as “employers” under the FMLA and other federal laws, such as corporate parents, owners, supervisors, and HR managers. [read post]
6 Jan 2018, 7:32 am
The first created a strong case of classification that made the SWF, so defined, amenable to management that would reduce its potential threats to good order. [read post]