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When It’s Time To Hire An ERISA Attorney

When I tell people that I’m an ERISA attorney, most people (including attorneys) don’t know what I do. While I’m not going to do a Rodney Dangerfield impersonation and claim I get no respect, the fact is that many plan...more

Doing Business in Latin America and The Caribbean: Columbia

Colombia is located in the northernmost part of South America. Its population is estimated at over 45 million people, with at least 10 million living in the capital city of Bogotá. Colombia’s main language is...more

The Ins And Outs Of Joint Venture Agreements

In this presentation: - What is a joint venture? - Advantages and disadvantages of using a joint venture - Starting a joint venture - Step 1: Find the right partner - Step 2: Ensure the JV...more

This is What a TPA Does and Why a Retirement Plan Sponsor Should Hire a Good One

One of my favorite movies of all time is The Deer Hunter. It’s a story about the Vietnam War and the post-traumatic stress disorder a group of friends from Western Pennsylvania who were drafted together and fought alongside...more

Can You Have A Partnership Of One And Why The Answer Matters To Joint Ventures

Companies can come in all different shapes and sizes. They can be traditional C corporations, limited liability companies, general partnerships, limited partnerships, S corporations, joint ventures (“JVs”) or various...more

Doing Business in Latin America and The Caribbean: Cayman Islands

The Cayman Islands are located in the western Caribbean Sea about 480 miles south of Miami and 180 miles northwest of Jamaica. Of the three islands, Grand Cayman is the largest with an area of 76 square miles. The islands of...more

Practical Issues in Pension Fund Investing – Execution of Subscription Agreements

There is a famous phrase which is particularly apt in the area of pension fund investing – “the devil is in the details”. This is the first in a series on practical issues that arise in connection with investments by Canadian...more

Cartel Fines: Liability of Private Equity Funds

The European Commission has held Goldman Sachs jointly and severally liable for a cartel infringement committed by Prysmian, an Italian cable maker formerly owned by Goldman Sachs’ private equity arm. The decision is a stark...more

Commission Holds Goldman Sachs Liable for Former Portfolio Company’s Antitrust Infringement

In its decision of 2 April 2014 in relation to the underground and submarine high voltage power cables cartel case, the European Commission (Commission) held the parent companies of the producers involved liable, on the basis...more

Dissenter Rights Create Trend of Investors Driving Higher Prices and Gaining Interest

Two recent high-profile shareholder rights cases in the Delaware Chancery Court have received a lot of attention due to the money that is at stake and the individuals in the disputes. These two cases, along with several other...more

How a 401(k) Financial Advisor Can Limit Their Liability

There is the old saying that the cobbler’s children have no shoes. I know that firsthand when my mother threatened to call an electrician because my father the electrician didn’t have time to do some electrical work in our...more

Finance Bill 2014 Published

The U.K. government has today published the final text of the 2014 Finance Bill. As discussed in our previous Alert, issued on March 19, the Finance Bill includes...more

Pre-formation Investments: Thinking Ahead

Investors in private equity funds (Funds) typically invest in blind pools, under which passive investors commit to invest a designated amount of cash in a Fund over an investment period while relying solely upon the Fund’s...more

Doing Business in Latin America and The Caribbean: The Bahamas

The Commonwealth of The Bahamas is an archipelago spanning 100,000 square miles extending southeast from Florida to northern Hispaniola. The Bahamas has an estimated land area of 5,382 square miles made up of 700 islands ...more

Why Employers Should Sponsor a Retirement Plan

Starting and running a business is one of the hardest things out there and I know from experience in starting my own law firm. You start a business to make a living and when the need arises and when you can afford it, you...more

Only 2 Things A Retirement Plan Sponsor Needs to Limit Their Liability

People in the professional services industry (legal, financial, or accounting) have a propensity to make something sound more important than it is. Those folks think that by making something sound more important than it is,...more

Update of California Statutory Law – The California Revised Uniform Limited Liability Company Act – Lenders and Borrowers Beware

The California legislature recently enacted the California Revised Uniform Limited Liability Company Act which made some important changes to existing California law affecting both lenders and limited liability company...more

Must-Know D&O: Lessons from FDIC Guidance and Case Law on D&O Insurance

The Federal Deposit Insurance Corporation (FDIC) recently warned financial institutions that it has observed an increase in exclusionary terms contained in the director and officer (D&O) insurance policies of depository...more

New York Court Affirms Separate Entity Ruling on Appeal

On March 11, 2014, a New York state appellate court affirmed an important decision on the “separate entity” rule that is favorable to all multinational banks that maintain a New York branch. New York’s separate entity rule...more

Private Fund Update - March 18, 2014

In this issue: - The 113th Congress - The Administration - Securities and Exchange Commission - Commodity Futures Trading Commission (CFTC) - Association for Corporate Growth (ACG) -...more

M&A Update: Delaware Supreme Court Upholds Business Judgment Rule Review For Certain Controlling Stockholder Transactions With...

On March 14, 2014, the Delaware Supreme Court upheld the Court of Chancery’s 2013 decision in In re MFW Shareholders Litigation, holding that in going-private mergers where there is a controlling stockholder, the use of both...more

In Lawson, Supreme Court Expands SOX Whistleblower Protection to Employees of Private Contractors

On March 4, 2014, in Lawson v. FMR, the U.S. Supreme Court ruled that a public company’s private contractors can be covered under the whistleblower protections of Section 806 of the Sarbanes-Oxley Act. The Supreme Court’s...more

Corporate and Financial Weekly Digest - Volume IX, Issue 11

In this issue: - NASDAQ Launches Marketplace for Private Companies - SEC Proposes Rules to Enhance Oversight of Clearing Agencies - FINRA Proposes to Amend Rules 2210 and 2214 - CME Group Exchanges...more

Margin Call, Part Two: Regulation U Basics

Because the vast majority of “margin calls” you are likely to get will arise under Regulation U in the context of a financing transaction by a bank (or in some cases, a non-bank lender), the ability to identify margin...more

Financial Advisor Found Liable for Aiding and Abetting Director Breaches of Fiduciary Duties in Connection With Cash-Out Merger -...

In a 91-page post-trial decision, Chancellor Travis Laster found RBC Capital Markets LLC (“RBC”) liable for aiding and abetting breaches of fiduciary duty in connection with RBC’s role as a financial advisor in the 2011 $438...more

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