Read Finance & Banking Law updates, alerts, news, and legal analysis from leading lawyers and law firms:
Compliance Advice on SEC’s Market Access Rule from Julie Dixon of Titan Regulation
Lawyer: European M&A Could Rise Despite Risks
Bill on Bankruptcy: Complaint Claims Judge Is a Bigot
Ex-Kirkland Partner: Rainmakers Are Paid Too Much
Dewey's Bankruptcy Lawyer: More Large Law Firms Will Fail
Bill on Bankruptcy: The Market's Unquenchable Thirst for Junk
License to travel: how regulation is benefiting business abroad
Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank
Bill on Bankruptcy: Lehman Test Case on Judicial Nullification
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Cohen: Cyprus Is Not A Template For Future Restructurings
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
Buying and Selling Businesses in Today's Economy, Stephen Opler
Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock
Deloitte: Turnarounds and Democracy Don't Mix
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Zimmermann: Up to 20% of AmLaw 200 "Badly Weakened"
Bill on Bankruptcy: Lawyers Easily Make Simple Words Complicated
The New Normal: Taking Responsibility for Your Vendors
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
A couple of weeks ago, the Minnesota Legislature passed new tax legislation that, among other things, added a brand new Minnesota gift tax and expanded the applicability of the Minnesota estate tax. A summary of the entire...more
Can shareholders of a government-sponsored enterprise successfully challenge the constitutionality of a government takeover of the entity? ...more
On June 13, 2013, without admitting or denying the allegations, eight former directors of five mutual funds agreed to settle SEC charges that they failed to satisfy their fair valuation responsibilities under federal...more
Like many other states, Connecticut has appointed itself as the official “lost and found” for all money abandoned within the state’s borders. We’re not talking about coins dropped on a sidewalk. Abandoned money can include...more
Allowing Canadian investors to participate in a global rights offering is easier than you think. There are two relatively simple approaches....more
Pre-financial crisis, interest rate derivatives were widely recognized as a valuable part of the municipal issuer’s financial toolkit. Post-crisis, they have been a thorn in the side of many issuers, resulting in expensive...more
Nature and Direction of Change - Shareholder activism in the U.S. has increased significantly over the past several years, with activist campaigns increasingly targeting well-known, larger market capitalization...more
Under new NYSE and Nasdaq listing standards that take effect on July 1, 2013, a compensation committee may receive advice from legal counsel, as well as compensation consultants and other advisors, only after considering six...more
Section 4043 of the Employee Retirement Income Security Act of 1974 (ERISA) requires pension plan sponsors to report a variety of corporate and plan events to the Pension Benefit Guaranty Corporation (PBGC). In November...more
The typical private fund is organized as a limited partnership or limited liability company that is managed by a general partner or manager. The fund manager is usually compensated in three ways – an annual management fee...more
This is the first in a recurring series of articles examining the Dodd-Frank Act and its implications for community banks. This quarter’s selection takes a closer look at reforms related to corporate governance...more
Interesting tax update courtesy of Bruce Thompson, a Senior Policy Advisor with DLA Piper. He continues to see momentum for comprehensive tax reform and wrote the following summary of what that might mean for fund managers...more
The Securities and Exchange Commission estimates that approximately 1,300 hedge and private equity fund managers registered as investment advisers with the agency as a result of the Dodd-Frank Wall Street Reform and Consumer...more
June 13 (Bloomberg Law) --Guy Norman, acting global head of mergers and acquisitions at Clifford Chance, tells Bloomberg's Sarah Kopit that the prospects for M&A activity in Europe are slowly beginning to improve. Citing a...more
The third batch of subsidiary legislation for the implementation of the new Companies Ordinance was gazetted in May...more
As an ERISA attorney with a national practice of plan sponsor and retirement plan provider clients around the country (cheap plug here), I hear many excuses as to why plan sponsors don’t want to take a look at their...more
The SEC recently released new Compliance and Disclosure Interpretations (CDIs) on a variety of topics under the Securities Act, the Exchange Act and Regulation S-K. A brief summary of some of these new CDIs is presented...more
In This Issue: - Conversation with a Community Banking Professional: Jillian Gibson - Future of Community Banking Symposium Highlights - Dodd-Frank Act Essentials: Corporate Governance Reforms -...more
In contrast to joint venture issues relating to upstream oil and gas development, the topic of shareholders' agreements for Liquefied Natural Gas (LNG) liquefaction projects has not been covered to a similar extent in...more
Topics we will cover: • Introduction • Issues with Control Groups • Issues with Prohibited Transactions • Fee Disclosure - Excerpt from Who is in the Control Group? • Aggregation Rules (Section...more
For startups and entrepreneurs looking to explore crowdfunding opportunities, there is really only one concern: how to attract donors/pledgers (and let’s call them investors for simplicity sake, shall we) for your...more
The 2013 Minnesota Legislative Session saw the passage of significant campaign finance and election law legislation. Governor Dayton indicated at the beginning of this session that, despite the DFL majorities in both the...more
FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million for several significant email system failures. The firm was also ordered to create a $1.5 million fund to compensate brokerage customers potentially...more
The SEC continues its efforts to prove that it is up to the task when it comes to adviser oversight. Chairwoman Mary Jo White recently testified before Congress that increasing adviser examinations is a top...more
Baron de Montesquieu, explaining how best to avoid abuses by leaders, put it simply: “power must check power.” Although the principles of checks and balances have fostered stable governments for more than three hundred years,...more
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