Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 22, 2013 Client Update FINRA Issues Report on Broker-Dealer Conflicts of Interest On October 14, 2013, FINRA issued a Report on Conflicts of Interest. The report summarizes FINRA’s observations followi... October 22, 2013 Client Update ISS Releases Draft Policies for Comment Unlike prior years, ISS has released only two U.S.-based draft policy changes for comment, due by November 4, 2013. Both c... October 22, 2013 Client Update U.K. Takeover Panel Amends Regime for Profit Forecasts and Quantified Financial Benefits Statements Significant amendments to the U.K. Takeover Code (the “Code”) took effect from September 30, 2013. The U.K. Takeover ... October 22, 2013 Client Update U.K. Takeover Panel Amends Regime for Profit Forecasts and Quantified Financial Benefits Statements Significant amendments to the U.K. Takeover Code (the “Code”) took effect from September 30, 2013. The U.K. Takeover ... October 22, 2013 Client Update Investment Management Regulatory Update - October 2013 SEC Rules and Regulations SEC Focused on Violations of Rule 105 of Regulation M IM Director Discusses Current Prioriti... October 18, 2013 Client Update Plaintiffs Abandon Appeal on Exclusive Forum Case On October 15, plaintiffs Boilermakers Local 154 Retirement Fund and Key West Police & Fire Pension Fund filed a notice of... October 16, 2013 Articles & Books Avoid Insider Status in Bankruptcy: Lessons from Capmark Financial Group Inc. v. Goldman Sachs Credit Partners, L.P. Through various affiliated entities, large financial institutions may have multiple touch points to a company client or mu... October 16, 2013 Client Update SEC Chair White Addresses Possibility of Disclosure Reform It is well known that Chair White and her staff have stressed that their immediate focus is on completing the mandatory ru... October 15, 2013 Client Update Active Investors Weigh In on SEC Pay Ratio Proposal Comment letters continue to flow in, almost overwhelmingly supportive so far, on the SEC proposed rule for pay ratio discl... October 14, 2013 Client Update Corporate Political Activities Targeted Advocates for the disclosure of corporate political contributions stress the value of transparency when pressing companies... Load More
October 22, 2013 Client Update FINRA Issues Report on Broker-Dealer Conflicts of Interest On October 14, 2013, FINRA issued a Report on Conflicts of Interest. The report summarizes FINRA’s observations followi...
October 22, 2013 Client Update ISS Releases Draft Policies for Comment Unlike prior years, ISS has released only two U.S.-based draft policy changes for comment, due by November 4, 2013. Both c...
October 22, 2013 Client Update U.K. Takeover Panel Amends Regime for Profit Forecasts and Quantified Financial Benefits Statements Significant amendments to the U.K. Takeover Code (the “Code”) took effect from September 30, 2013. The U.K. Takeover ...
October 22, 2013 Client Update U.K. Takeover Panel Amends Regime for Profit Forecasts and Quantified Financial Benefits Statements Significant amendments to the U.K. Takeover Code (the “Code”) took effect from September 30, 2013. The U.K. Takeover ...
October 22, 2013 Client Update Investment Management Regulatory Update - October 2013 SEC Rules and Regulations SEC Focused on Violations of Rule 105 of Regulation M IM Director Discusses Current Prioriti...
October 18, 2013 Client Update Plaintiffs Abandon Appeal on Exclusive Forum Case On October 15, plaintiffs Boilermakers Local 154 Retirement Fund and Key West Police & Fire Pension Fund filed a notice of...
October 16, 2013 Articles & Books Avoid Insider Status in Bankruptcy: Lessons from Capmark Financial Group Inc. v. Goldman Sachs Credit Partners, L.P. Through various affiliated entities, large financial institutions may have multiple touch points to a company client or mu...
October 16, 2013 Client Update SEC Chair White Addresses Possibility of Disclosure Reform It is well known that Chair White and her staff have stressed that their immediate focus is on completing the mandatory ru...
October 15, 2013 Client Update Active Investors Weigh In on SEC Pay Ratio Proposal Comment letters continue to flow in, almost overwhelmingly supportive so far, on the SEC proposed rule for pay ratio discl...
October 14, 2013 Client Update Corporate Political Activities Targeted Advocates for the disclosure of corporate political contributions stress the value of transparency when pressing companies...