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12 Aug 2022, 6:34 am
” “‘This is one of the first substantive pieces of guidance on Reg BI for the brokerage industry and the fiduciary standard for investment advisers’ under SEC Chairman Gary Gensler, Jim Lundy, a partner and member of the Securities Enforcement & Litigation Practice at Foley & Lardner LLP, said in an email. [read post]
6 Jul 2021, 10:45 am
Last Minute Charlie – He has one day left to file to beat the statute of limitations. [read post]
25 Apr 2024, 9:05 pm
This post comes to us from Goodwin Procter LLP. [read post]
4 Jul 2015, 6:22 am
No one is perfect and no situation is perfect forever. [read post]
16 Feb 2011, 5:00 am
Within two weeks of the signing of the of Zadroga Act, however, Senator Kirsten Gillibrand’s staff announced that lower Manhattan residents and workers were not covered by the Fund, only to be contradicted by Rep. [read post]
9 Oct 2022, 7:22 pm
Some Lego pieces involve a single lawyer; others are leveraged, involving one or more partners who keep several associates, paralegals, and staff busy; most are external facing, but some are internal and enable the growth and stability of other practices; but all of them, for the most part, pull their own economic weight. [read post]
10 Oct 2023, 9:01 pm
While I cannot support this rule, I am thankful to the Commission staff for their excellent and diligent work on this rulemaking. [read post]
30 Mar 2017, 4:17 pm
Yahoo Inc. suffered two significant data breaches — one in 2014 that reportedly impacted at least 500 million customer email accounts and another in 2013 that reportedly affected more than one billion user accounts. [read post]
27 Aug 2010, 11:50 am
The maximum number of candidates a company must include is 25% of the number of directors (and always at least one director). [read post]
14 Apr 2020, 1:11 pm
The Commission and the staff are continuing to assess the impacts and will be considering further relief designed to help funds and advisers to continue operations and meet regulatory deadlines. [read post]
20 Mar 2023, 9:05 pm
But one can hear a skeptical justice responding: But it’s the same word, counsel, and the New York Legislature and Congress speak the same language and rely on the same dictionaries. [read post]
3 Apr 2023, 9:01 pm
” One way for an Adviser to demonstrate that a qualified custodian has “possession or control” of a client’s cryptoassets is if the qualified custodian “generates and maintains private keys for the wallets holding advisory client crypto assets in a manner such that an adviser is unable to change beneficial ownership of the crypto asset without the custodian’s involvement. [read post]
17 Jun 2022, 12:30 pm
So, is an insurance conservatorship one such proceeding? [read post]
24 Apr 2012, 8:00 am
Few hedge funds have the luxury of a full-time dedicated marketing (as opposed to fund-raising) professional on staff. [read post]
12 Sep 2010, 8:57 am
Please join Jonathan Marks, partner-in-charge of the Crowe Horwath LLP fraud and ethics practice, in concert with Sam Antar, convicte [read post]
18 Sep 2016, 5:49 pm
I went with PLUS staff member Dan Jenney to visit the tomb. [read post]
27 Feb 2025, 6:51 am
Phil Murphy’s former chief of staff George Helmy, and other state employees as well as the investment giant BlackRock in 2020. [read post]
29 Mar 2022, 6:10 am
However, only 55% of independent lawyers have one. [read post]
25 Jul 2022, 9:01 pm
As a result, one of my goals as Director is to help restore the public’s trust in our financial markets and institutions and to make clear that there is only one set of rules. [read post]
20 Feb 2017, 7:02 am
Stein of fraud at the MARC staff meeting. [read post]
