News & Analysis as of

Franchise Securities

Read need-to-know updates, commentary, and analysis on Franchise issues written by leading professionals.

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Store-branded credit cards are still big business, but as the Times tells us, their contribution to companies’ bottom lines are masking bigger troubles at retailers around the US....more

A "reasonable basis" for FPRs: what to expect this renewal season from state franchise examiners in light of the proposed NASAA...

by DLA Piper on

Last fall, the North American Securities Administrators Association Inc. (NASAA) issued a notice of request seeking public comment on an updated proposed financial performance representations (or FPR) Commentary. The Federal...more

SEC Weighs In on Robo-Advisers: Disclosure, Suitability, and Compliance Obligations

by Morgan Lewis on

The SEC’s Guidance recognizes that robo-advisers are fiduciaries, and provides suggestions on how they can meet the substantive requirements of the Investment Advisers Act of 1940. ...more

Must A False Statement To A Franchisee Be Made “In this state”?

by Allen Matkins on

The list of instruments and interests included within the definition of a “security” in California Corporations Code Section 25019 is long. A franchise, however, is not to be found amongst the named. In fact, the statute...more

Regulation A+: A Capital-Rising Method that is Ready for Franchising

by Baker Donelson on

In a prior article published in Franchising Today, we addressed the intersection of franchises and crowdfunding, a method of business financing which was made legal through rulemaking on the part of the Securities and...more

SEC Staff Issues New C&DIs Related to Foreign Issuers

by Morrison & Foerster LLP on

On December 8, 2016, the Securities and Exchange Commission’s (“SEC”) Division of Corporation Finance (the “Staff”) released several new compliance and disclosure interpretations (“C&DIs”) clarifying the definition of...more

Alphabet Soup?

Several years have now passed since the financial crisis and the onslaught of regulations intended to prevent a future crisis. Regulatory reform has assuredly resulted in significant changes to our financial services sector....more

Major FCPA Enforcement Action Against Nation’s Largest Publicly Traded Hedge Fund

by King & Spalding on

In one of the largest FCPA settlements in history, hedge fund Och-Ziff Capital Management Group LLC (“Och-Ziff”) recently resolved a long-running government inquiry by agreeing to $413 million in financial penalties and a...more

FINRA to Conduct Targeted Exams of Unit Investment Trust Rollovers

FINRA recently announced that it will be conducting an inquiry into unit investment trust (“UIT”) rollovers. UITs generally are unmanaged registered investment companies that are comprised of a fixed portfolio of securities...more

FCPA Compliance and Ethics Report-Episode 276-Regulator Evolution [Video]

by Thomas Fox on

In this episode Red Flag Group CEO Scott Lane and I discuss how regulators thinking on best practices compliance programs has evolved. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 7 [Video]

by Thomas Fox on

In this podcast, I discuss the most vexing problem of a best practices compliance program, managing third party risk. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 4, risk assessments [Video]

by Thomas Fox on

In this 10-episode podcast series I take a look at the hallmarks of an effective compliance program. In this episode I review Hallmark 4-risk assessments....more

FCPA Compliance and Ethics Report-Episode 265-Managing Supply Chain Risk, Part I-with Jared Connors [Video]

by Thomas Fox on

In this episode I begin a multi-part series with Jared Connors on how to manage your supply chain risk. ...more

FCPA Compliance and Ethics Report-Episode 261-the Role Of HR in a Best Practices Compliance Program [Video]

by Thomas Fox on

This episode is the audio portion of a webinar I put on for the SCCE and in it I go into a deep dive on the role of HR in a best practices compliance program. ...more

Competition News May 2016

by Dentons on

Divesture commitments in a merger operation: reminder to maintain the profitability of the transferred business - On April 19, 2016, the French Competition Authority (FCA) once again punished the failure to respect the...more

Franchise & Distribution News, Number 2

by Dickinson Wright on

Ontario Passes New Legislation Governing Tips and Gratuities - Ontario restaurants, bars and other businesses with employees who receive some of their pay through tips and gratuities will face new laws governing how...more

Court Rules Dissolution of Cooperative Corporation Is A Process, Not A Flash

by Allen Matkins on

I don’t see that many cases involving California’s Cooperative Corporation Law and so I was interested in a recent ruling by Magistrate Judge Laurel Beeler in English & Sons, Inc. v. Straw Hat Rests., Inc., 2016 U.S. Dist....more

FCPA Compliance and Ethics Report-Episode 245-Michael Bassett from Conference Executive Board Canada [Video]

by Thomas Fox on

In this episode I visit with Michael Bassett from Conference Executive Board Canada about the work by CEB to promote better risk management and governance with Board of Directors....more

S.D.N.Y Dismisses Former Employee’s SOX and Dodd-Frank Whistleblower Claims

The U.S. District Court for the Southern District of New York recently granted a motion for summary judgment dismissing a plaintiff’s SOX and Dodd-Frank whistleblower claims. The court ruled that the plaintiff failed to...more

Cybersecurity Preparedness & Response Alert: Effective Cybersecurity: The Evolving Regulatory Landscape for Investment Advisers,...

by Alston & Bird on

Cybersecurity has become a top concern for executives and boards across all sectors of commerce and critical infrastructure that rely on digital technologies—including financial services—and investment advisers, investment...more

Second Circuit Overturns Fraud Convictions in United States v. Litvak

by Morgan Lewis on

The Second Circuit found no proof of material misrepresentations as to some charges, and held that expert testimony was improperly excluded as to others. On December 8, the US Court of Appeals for the Second Circuit...more

FAST Forward - A Summary of the Securities Law Provisions of the FAST Act

by Morrison & Foerster LLP on

On December 4, 2015, President Obama signed the Fixing America’s Surface Transportation Act (“FAST Act”), which includes a number of securities law related provisions that had previously been the subject of individual bills...more

Professor Coffee and Judge Rakoff Comment on Securities Class Actions

Since its inception, the concept of class action litigation – in a securities context or otherwise – has been met with arguments for and against it. To be sure, a class action suit is often the only way to properly...more

October 2015: Securities & Structured Finance Litigation Update

Renewed Potency for Personal Jurisdiction Defenses in the United States. Personal jurisdiction may be an afterthought for many lawyers. But recent developments—including an August 4, 2015 decision in the ongoing LIBOR...more

Polsinelli Podcast - What Employers Need to Know About Dealing With Cash [Audio]

by Polsinelli on

If you own a smaller business and routinely deposit cash into the bank, there are changes underway that could one day make banks no longer want to handle cash. What does this mean for your business and what’s behind the...more

74 Results
|
View per page
Page: of 3
Cybersecurity

Follow Franchise Updates on:

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.

Feedback? Tell us what you think of the new jdsupra.com!