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On June 10, 2013, the European Securities and Markets Authority (“ESMA”), following a request from the European Commission, published a report comparing the liability regimes applied ...
On June 5, 2013, the Securities and Exchange Commission (the “SEC”) proposed amendments to rules under the Investment Company Act of 1940 (the “Investment Company Act”) and relate...
The Administrative Review Board of the Department of Labor concluded that Lockheed Martin had violated Section 806 of the Sarbanes-Oxley Act after an employee alleged that the company ret...
The controversy surrounding proxy advisory firms has reached Congress, as the House Capital Markets and Government Sponsored Enterprises Subcommittee held a hearing yesterday to examine t...
The Federal Reserve has issued an interim final rule clarifying the treatment of uninsured U.S. branches and agencies of foreign banks under Section 716 of the Dodd-Frank Act (“Swaps Pu...
On May 16, 2013, the CFTC adopted final rules relating to the registration and operation of swap execution facilities, the Dodd Frank Act’s mandatory trade execution requirement and the...
Commissioner Gallagher recently lamented that the SEC has played a “significant role” in the rising influence of proxy advisory firms and the increasing willingness of investors to re...
Court of Final Appeal decision endorses representative securities claims brought by the SFC to compensate aggrieved investors
Litigation to compensate investors for alleged breaches of se...
The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member States (Member States) having until July 22, 2013 to implement it. ...
In the past month, no rulemaking requirements were due, no unmet rulemaking requirements were finalized and one rulemaking requirement was proposed.
Although the CFTC released final rule...