Search for: "K&L Gates" Results 201 - 220 of 1,366
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21 Jun 2016, 6:06 am by Joe Patrice
Congrats to associates at Alston & Bird and K&L Gates. [read post]
27 May 2016, 6:12 am
Eisenberg, K&L Gates LLP, on Wednesday, May 25, 2016 Tags: Financial crisis, Investor protection, Non-prosecution agreement, SEC, SEC enforcement, Securities damages,Securities enforcement, Securities regulation, Settlements The Value of Offshore Secrets: Evidence from the Panama Papers Posted by Hannes Wagner, Bocconi University, on Thursday, May 26, 2016 Tags: Anti-corruption, Compliance & ethics, Cybersecurity, Firm valuation,… [read post]
16 May 2016, 8:45 am by D Daniel Sokol
Francesco Carloni and Gabriela Da Costa (K&L Gates) explain Judgments in the Cement Case: Requirement for Greater Clarity, Specificity, and Justification of Information Requests from the Commission. [read post]
13 May 2016, 7:00 am by Alysa Pfeiffer-Austin
Second row left to right: Kate Growley, Associate Crowell & Moring, Washington, DC; Lisa Lifshitz, Partner and Chair, Technology, Privacy & Data Management Group, Torkin Manes LLP, Toronto, Ontario; Lois Mermelstein, Artegis Law Group LLP; Jean Pechette, Shareholder, Polsinelli, Chicago, IL; Heather [read post]
13 May 2016, 7:00 am by Alysa Pfeiffer-Austin
Second row left to right: Kate Growley, Associate Crowell & Moring, Washington, DC; Lisa Lifshitz, Partner and Chair, Technology, Privacy & Data Management Group, Torkin Manes LLP, Toronto, Ontario; Lois Mermelstein, Artegis Law Group LLP; Jean Pechette, Shareholder, Polsinelli, Chicago, IL; Heather [read post]
13 May 2016, 5:30 am by Doug Cornelius
Hastings of K&L Gates Over the last few years, the SEC has been criticized for (1) failing to “consistently and aggressively enforce the securities laws and protect investors and the public,” (2) obtaining sanctions that amount to only a slap on the wrist against major financial institutions, (3) settling rather than taking big banks to trial, 4) failing to name individuals in enforcement actions, (5) failing to require that companies admit guilt,… [read post]
22 Apr 2016, 6:06 am
Eisenberg, K&L Gates LLP, on Monday, April 18, 2016 Tags: Broker-dealers, Disgorgement, Investment advisers, Investor protection, Misconduct, SEC, SEC enforcement, SEC investigations, Securities damages, Securities enforcement, Securities Regulation, Whistleblowers M&A Agreements and the Challenges of PRC Acquirors Posted by Ethan A. [read post]
29 Feb 2016, 9:30 pm by Dan Ernst
Drummond, K&L Gates LLP; Squire Patton Boggs LLP, has posted The Toughest Bar in Texas: The Alamo Bar Association, which appeared in The Appellate Advocate 27 (2015):You can’t buy a drink in or even visit the toughest bar in Texas. [read post]
9 Feb 2016, 10:00 pm by Jim Hassett
To gain insight into these critical issues, we recently interviewed 15 people who currently perform the role of LPM director: Kim Craig, Global Director, Legal Process Improvement, SeyfarthLean Consulting Stuart Dodds, Director of Global Pricing and LPM, Baker & McKenzie Pete Elliott, Director of Legal Project Management, Benesch Friedlander Chris Ende, Managing Director for Pricing and Project Management, Goodwin Procter Alex Erines, Pricing and Project Manager, Crowell &… [read post]
5 Feb 2016, 6:22 am
Uncleared Swap Margin, Capital, and Segregation Rules Posted by Annette L. [read post]
3 Feb 2016, 7:31 am by Jack Sharman
From the Harvard Law School Forum on Corporate Governance and Financial Regulation and Jon Eisenberg, a partner in the Government Enforcement practice at K&L Gates LLP, here is a useful article (with cases and charts) about the SEC’s use of civil monetary penalties. [read post]
29 Jan 2016, 6:07 am
Eisenberg, K&L Gates LLP, on Sunday, January 24, 2016 Tags: Broker-dealers, Compliance and disclosure interpretation, Corporate fraud, Disclosure, Investor protection, Liability standards, Misconduct, Misreporting, SEC, SEC enforcement, Securities damages, Securities Regulation 2015 Securities Law Developments Posted by Jason M. [read post]
15 Jan 2016, 6:13 am
Eisenberg, K&L Gates LLP, on Sunday, January 10, 2016 Tags: Bonds, Books and records, Broker-dealers, Compliance & ethics, Compliance and disclosure interpretation, Conflicts of interest, Disclosure, Due diligence, Europe, Exchange-traded funds, Financial institutions, Financial Regulation, FINRA,Insider trading, International governance, Misconduct, Municipal securities, Mutual funds, REITs, Risk, Risk disclosure, SEC,Securities enforcement,… [read post]