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Illinois Court Holds Services Performed By Sub for Parent Comes Within E&O Policy

In its recent decision in Hilco Trading LLC v. Liberty Surplus Ins. Co., 2014 Ill. App. LEXIS (Ill. 1s Mar. 17, 2014), the Appellate Court of Illinois for had occasion to consider whether appraisals and evaluations prepared...more

New York Court of Appeals Sets Forth New Rule for Breach of Duty to Defend

In its recent decision in K2 Investment Group, LLP v. American Guarantee & Liability Ins. Co., 2013 N.Y. LEXIS 1461, 2013 NY Slip Op. 4270 (NY June 11, 2013), New York's Court of Appeals – New York’s highest court –...more

New York Court Addresses Business Enterprise Exclusions

In its recent decision in Admiral Ins. Co. v. Adges, 2012 U.S. Dist. LEXIS 89355 (S.D.N.Y. June 27, 2012), the United States District for the Southern District of New York had occasion to consider whether a business...more

COMMENTS ABOUT SEC V. THOR INDUSTRIES: THE ALLEGATIONS AND THE REMEDIES DAVID TATE ESQ 06092011

A summary and discussion about SEC v. Thor Industries, including the allegations, the remedies, who did or did not do what, and improvements that could be made by the SEC and in governance and risk....more

Beware of Regulatory Crackdown on Unregistered Brokers

There is a growing regulatory crackdown on unregistered persons assisting businesses in raising capital. Finders and the businesses they assist must be extremely cautious about the myths that have developed from the...more

Audit Committee Responsibilities & Risk Management

Public and private company audit committee responsibilities and risk management....more

The Little Paper About Nonprofit Audit Committees

A paper discussing nonprofit audit committee functions and responsibilities....more

Governance Lessons Learned From SEC v. Con-way, Inc.

Governance lessons learned from SEC v. Con-way, Inc....more

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