FCPA Compliance and Ethics Report-Episode 3-Interview with Marie Patterson, Vice President of Marketing for Hiperos
What you need to know about Canada's new Anti-Spam Law (CASL)
Why Ending FCC Blackout Rules May Be Broadcast TV's Demise
FCC Proposes New Rules On Local Wireless Siting
Data Center Networks – Interview with Jeff Moerdler, Member, Mintz Levin
What to expect from FCC Post-Governement Shutdown
Employer Social Media Policies – Interview with Mitch Danzig, Member, Member, Mintz Levin
Jason Maloni on Data Security
JOBS Act Implementation Regulations
Ernest DelBuono on Aviation
Jack Deschauer on Government Investigations
Polsinelli Podcast - Public Policy Issues in 2013
Condo Adviser: Condominium Rules and Enforcement
Condo Adviser: What is 'FHA approved,' exactly?
Condo Owners and Dealing with Uncooperative Management Companies
Reserve Funds: Purposes and Common Mistakes
Instapundit: America's IP Laws Need to be "Pruned Back"
Polsinelli Podcast - Social Media at Work - What's Allowed and What Isn't?
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
[Legal Perspective] When Is It NOT Okay to Delete Your Social Media Account?
In response to the prevalence of social media sites featuring consumer reviews of various types of businesses, on March 28, 2014, the SEC’s Division of Investment Management published an IM Guidance Update to address concerns...more
The Division of Investment Management (the Division) of the Securities and Exchange Commission recently issued guidance (the Guidance) to investment advisers regarding the applicability to social media of Rule 206(4)-1(a)(1)...more
On April 10, 2014, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) issued one revised and two new compliance and disclosure interpretations (“C&DIs”) regarding crowdfunding and Rule...more
This week the SEC released three new Compliance and Disclosure Interpretations (C&DIs) relating to Rule 147, which applies to securities that exempt from registration pursuant to Section 3(a)(11) of the Securities Act because...more
The staff of the SEC’s Division of Investment Management (the “Staff”) issued IM Guidance Update No. 2014-4 discussing how a registered adviser or its investment advisory representatives (“IARs”) may use public commentary...more
Acknowledging the growing demand by consumers for information through social media, the Division of Investment Management set some ground rules on how investment advisers can use social media and publish advertisements that...more
Acknowledging the growing demand by consumers for information through social media, the Division of Investment Management set some ground rules on how investment advisers can use social media and publish advertisements...more
On March 20, 2014, the Canadian Securities Administrators (CSA) published a notice (the CSA Notice) announcing the release for comment of two proposed equity crowdfunding prospectus exemptions. Some provincial securities...more
Bill Carleton has a good post regarding the recent comments from Keith Higgins, the Director of the Division of Corporation Finance, who spoke at the 2014 Angel Capital Association Summit. Higgins discussed the SEC’s...more
The Washington State legislature has passed a crowdfunding bill, HB 2023. The Governor has yet to sign the bill, so it is not yet law. But hopefully it will be law soon.
If you are wondering what the new law will...more
Fed Issues a Report on Mobile Financial Services -
On March 25, the Fed issued a report on the use of mobile phones to obtain financial services. Last year, 33 percent of all mobile phone users and 51 percent of...more
At the beginning of this year – to the (pleasant) surprise of market participants – an agreement came into force to implement a simplification in the marketing of Swiss securities funds (Effektenfonds) in Germany, and German...more
In a recent speech, Keith Higgins, Director, SEC Division of Corporation Finance, gave his views on certain misperceptions and other matters regarding general solicitation under the JOBS Act....more
As previously reported in Dechert's Fourth Quarter 2013 Financial Services Quarterly Report and DechertOnPoint, Luxembourg Law Transposing the AIFMD Passed by Luxembourg Parliament, Luxembourg’s transposition of the AIFMD...more
Governor Jeremy C. Stein spoke at the Crowdfunding for Community Development Finance Conference today. Fed Governor Stein’s remarks emphasized that perhaps all too often crowdfunding is associated only or primarily with tech...more
Following a lengthy consultation period and broad review, the Ontario Securities Commission (“OSC”) has unveiled a series of proposed prospectus exemptions aimed at growing small and medium-sized enterprises (“SMEs”). Among...more
In this episode of the FCPA Compliance and Ethics Report, I visit with Marie Patterson, VP of Marketing for Hiperos. We discuss the management of third parties by a commercial entity throughout the life cycle of the...more
In This Issue:
- NIST Releases Final Framework Document
..Key Changes From The Preliminary Framework
..The Framework Roadmap
..The DHS “C-Cubed” Program
- California Suggests Upper...more
When the SEC‘s proposed new rules for regulating crowdfunding came out in October last year, there was understandably a lot of excitement. What’s not to love about the lofty idea of providing companies access to the huge...more
The SEC settled public administrative proceedings against Navigator Money Management (the “Adviser”), a registered investment adviser, and its principal, Mark A. Grimaldi (the “Principal”), over advertisements in newsletters...more
The Securities and Exchange Commission (the “SEC”) has released a series of Compliance and Disclosure Interpretations (the “Interpretations”) recently addressing the general solicitation exemption under new Rule 506(c) of...more
The startup community is getting excited and antsy. The comment period on the SEC’s crowdfunding rules ended February 3. The speculation has begun – when will the rules be final? Could it be this summer?
My answer: Who...more
Effective September 2013, the U.S. Securities and Exchange Commission (SEC) amended Rule 506 of Regulation D to (1) permit, in certain circumstances, an issuer to engage in general solicitation and general advertising in...more
To date, the Jumpstart Our Business Startups Act (the JOBS Act) is best known for legalizing securities crowdfunding (better called ‘crowd investing’), lifting the ban on the mass marketing of private offerings, and fostering...more
A 2013 court decision has cast doubts over the future scope of the U.S. Bankruptcy Code’s safe harbor protections against the reversal of settled securities transactions. If the ruling stemming from the Tribune Company...more
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