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25 Dec 2017, 9:40 pm by The Regulatory Review
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
15 Dec 2017, 9:01 am by CFM Admin
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
15 Dec 2017, 9:01 am by CFM Admin
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
12 Dec 2017, 7:41 am by Doug Cornelius
Clearly, the Securities and Exchange Commission is very focused on cybersecurity. [read post]
23 Oct 2017, 4:22 pm by Kevin LaCroix
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
23 Oct 2017, 4:22 pm by Kevin LaCroix
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
3 Oct 2017, 11:14 am by Garrett Hinck
Vanessa Sauter flagged an amicus brief from Orin Kerr submitted in Carpenter v. [read post]
29 Aug 2017, 6:00 am by Alexander J. Davie
Although the ICO concept has gained traction very quickly and allowed various companies to raise over a billion dollars’ worth of digital currency directly from investors, many have suspected that ICOs, like their IPO counterparts, involve the issuance of securities; however, until recently, the Securities and Exchange Commission (SEC) had not yet weighed in. [read post]
12 Aug 2017, 9:10 pm by Dan Flynn
Disney had to report its payment to the Securities and Exchange Commission (SEC), so we know that much. [read post]
24 Jul 2017, 10:11 am by Matthew D. Lee
Sept. 8, 2016), the indictment charged the chief financial officer of a publicly-traded real estate investment trust with securities fraud in connection with his alleged fraudulent inflation of a key metric used to evaluate a REIT’s financial performance in filings made with the Securities and Exchange Commission. [read post]
21 Jul 2017, 6:04 am
Pastuszenski, Goodwin Procter LLP, on Tuesday, July 18, 2017 Tags: California, Class actions, Jurisdiction, New York, PSLRA, Securities Act, Securities litigation, Shareholder suits, SLUSA, State law, Supreme Court CalPERS v. [read post]
27 Jun 2017, 12:59 pm by Jonathan H. Adler
Another case likely to reach the court next term concerns the constitutionality of the Securities and Exchange Commission’s administrative law judges. [read post]
20 Jun 2017, 12:41 pm by Suzette Pringle
The report also identifies the top 50 settlements obtained by the Securities and Exchange Commission, based on the sum of disgorgements and civil penalties. [read post]
11 Jun 2017, 9:05 pm by Walter Olson
” [Veronique de Rugy, more] Tags: Dodd-Frank, FATCA, Foreign Corrupt Practices Act, Securities and Exchange Commission, statutes of limitations, Supreme Court Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
6 Jun 2017, 8:06 am by Theresa Gabaldon
Securities and Exchange Commission, yesterday’s 9-0 opinion siding with appellant Charles Kokesh and determining that SEC disgorgement actions are subject to a statute of limitations hardly called for stopping the presses. [read post]
9 May 2017, 11:41 am by Justin Giovannettone
Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. [read post]
3 Apr 2017, 3:14 pm by Jordan Brunner
Judge Pohl then clarifies that there is a one-month time lag between submission and completion of review, and that the records start out with TOP SECRET level clearance. [read post]