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The Council of Institutional Investors (CII) sent a letter to Keith Higgins, the director of the SEC Division of Corporation Finance, related to the Dodd-Frank requirement for the SEC to ...
The latest SEC award to a whistleblower was notable for having been initially denied because the SEC decided that the information was not “voluntarily” provided. Under the SEC rules, ...
Two sets of important guidelines have recently been issued which are relevant to UK listed companies seeking to raise new capital or contemplating other types of corporate finance transac...
The Citizens for Responsibility and Ethics (CREW) has filed a comment in response to the Chamber of Commerce’s petition asking the Commission to increase the voting approval threshold f...
On July 23, 2014, the Securities and Exchange Commission adopted significant amendments to rules under the Investment Company Act of 1940 and related requirements that govern money market...
In a decision that may predict the outcome of the ongoing SEC conflict minerals court case, a divided U.S. Court of Appeals for the D.C. Circuit, sitting en banc, ruled that a regulation ...
The UK Takeover Panel recently published its Annual Report for 2013/14. The Director General of the Panel noted that activity in 2013 was “subdued”, and that the level of public take...
On July 17, 2014, the New York State Department of Financial Services (NYDFS) published its proposed comprehensive regulatory scheme for virtual currency businesses, called “BitLicense....
As a result of the controversy regarding the availability of interim vote tallies during the 2013 proxy season, which we’ve previously discussed here, numerous companies received shareh...
Over the past 18 months companies have scoured their supply chains and wrestled with hard-to-interpret regulatory mandates in order to comply with the initial reporting deadline for the S...