This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more
9/22/2015
/ Appearance Policy ,
Arthur Anderson ,
Asset Management ,
Best Interest Contract Exemptions ,
Best Interest Standard ,
Broker-Dealer ,
Compliance ,
Dodd-Frank ,
Enforcement Actions ,
Enron ,
Insurance Industry ,
Investors ,
Life Insurance ,
Mutual Funds ,
Negligence ,
Private Right of Action ,
Professional Liability ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Shareholders ,
WorldCom
Whistleblowing law continues to develop, with a recent U.S. Supreme Court decision holding that, despite ambiguous statutory language, the Sarbanes-Oxley Act of 2002 protects employees of private companies serving as...more
7/17/2014
/ Contractors ,
Dodd-Frank ,
Employer Liability Issues ,
Investment Adviser ,
Lawson v FMR ,
Popular ,
Publicly-Traded Companies ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Whistleblowers