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The SEC recently found that EY violated the auditor independence rules in two cases based on the audit partners’ close personal relationships with members of the issuer finance teams. ...
In a closely watched case that has been pending in the federal courts for over a decade—a series of private lawsuits alleging that Chinese manufacturers had colluded to fix prices of vi...
Notable Developments
Federal Circuit Rules that District Courts May Consider New Claim Construction in a Motion for Reconsideration
Second Circuit Rules DMCA Safe Harbors Protect Pre-197...
Current and former holders of political office are among the many who wrote in to the SEC with comments on its Regulation S-K concept release. Former New York City Mayor Bloomberg, curren...
On 12 September 2016, the UK Takeover Panel published the twelfth edition of the Takeover Code, replacing in its entirety the previous edition published in September 2011 in the wake of K...
Andrew Ceresney, the director of the Division of Enforcement at the SEC, gave a speech recently about the success of the SEC whistleblower program. It contained some interesting data that...
IN THIS ISSUE:
Introduction
Run for the hills…Swiss-style Brexit
EMIR and Brexit
Despite a weekend of Brexit brainstorming by the Cabinet at the Prime Minister’s country retreat, w...
While several major SEC disclosure requirements remain in the proposal stage and the pay ratio disclosure does not come into play until the proxy statement for 2018 meetings, companies sh...
The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solely in certain corporate financing advisory and capital raising act...
73% of the shareholders at large-cap companies and 77% of those at mid-cap companies are institutional investors, according to the latest edition of ProxyPulse, a joint publication by Bro...