Polsinelli Podcast - Is a Single U.S. Food Agency a Reality?
What is the Current State of Anti-Bribery Compliance & Enforcement in Australia?
Polsinelli Podcasts - The Latest on a Shift in Regulation in Dietary Supplements
FCPA Compliance and Ethics Report-Episode 18-Walmart-Be a Leader in Compliance
FCPA Compliance and Ethics Report-Episode 15-GSK in China: a Game Changer in Compliance
Partnership and Similar Agreements - Douglas W. Lubic, Esq.
Before committing to a franchise business, consider...
Lessons Learned from the BizJet Executives FCPA Enforcement Actions
Craft Beer Boom in Michigan
Record-setting Dodgers Sale Sets High Price For Mets Franchise
The SEC has issued a proposed rule to require companies to disclose the relationship between executive compensation and the financial performance of a company. The details of the proposed rule have been well publicized, and...more
Four SEC Commissioners addressed the annual SEC Speaks Conference, reviewing recent agency initiatives and tracing potential paths for the future. The SEC also brought another FCPA action, a misappropriation case and an...more
Consulting Services Group, LLC, or CSG, was a registered investment adviser whose business included providing consulting services to public pension funds. These consulting services included recommending third-party investment...more
I recently wrote about Judge Rakoff’s refusal to enter the SEC’s proposed consent decree in SEC v. Citigroup Global Markets, Inc., 827 F. Supp. 2d 328 (SDNY 2011) – and the shift in SEC enforcement policy that it prompted. ...more
TOPICS COVERED THIS WEEK
- FEDERAL ISSUES
- CONSUMER FINANCE
- PRIVACY/DATA SECURITY
Excerpt From Federal Issues:
On August 16, the UK Financial Services Authority (FSA) announced that it had published a final notice imposing a penalty of £210,000 (approximately $350,000) on Sir Ken Morrison (KM), the former chairman of Wm Morrison...more
My friend, Bill Twomey, suggested a post describing how to get copies of securities and franchise filings made with the Department of Corporations. It’s actually pretty easy. The DOC maintains the California Electronic...more
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