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EB-5 Legislative Update

Earlier this year, bipartisan legislation was introduced that would permanently authorize the EB-5 Immigrant Investor Pilot Program. Rather than pass the legislation, the U.S. House of Representatives passed a Continuing...more

Employment Law - September 2015

From the California Legislature: New Employment Laws, Bills Set for Signature: Why it matters - The California Legislature has been busy with employment-related bills, passing measures to provide additional...more

Blog: House Bill To Require Disclosure Of Efforts To Eliminate Slave Labor From Supply Chains

Yesterday, Representatives Carolyn Maloney and Chris Smith introduced H.R. 3226, the ‘‘Business Supply Chain Transparency on Trafficking and Slavery Act of 2015.’’ ...more

Changes to Sunday Trading Laws – Good News for Retailers?

In his emergency summer budget of July 8, Chancellor George Osborne announced changes to the Sunday trading rules in England and Wales. In this bulletin we provide a brief reminder of the current rules and look at what the...more

In Case You Missed It - Interesting Items for Corporate Counsel - May 2015

The SEC proposed pay for performance rules to implement Section 953(a) of Dodd-Frank, which requires disclosure of “information that shows the relationship between executive compensation actually paid and the financial...more

Why PE Should Stick with Entrepreneurs’ Relief Over the New Employee Shareholder Status

Over the years the UK has seen a variety of tax efficient schemes available to incentivize management; and in 2014 the Employee Shareholder Status (ESS) regime was added into the mix. ESS essentially allows an employee...more

Blog: Senate Bill Introduced To Raise Rule 701 Disclosure Threshold

Senators Pat Toomey (R., PA) and Mark Warner (D., VA) have introduced Senate Bill 576, the ‘‘Encouraging Employee Ownership Act.’’ The bill would require the SEC, within 60 days after enactment, to raise the threshold in...more

Fighting the Fiduciary Rule Before It’s Been Even Proposed

Not long after President Obama expressed the desire that the Department of Labor (DOL) implement a fiduciary rule for brokers who work on retirement plans; did one of Wall Street’s paid minions strike back....more

Private Equity Tax Alert - What might the General Election bring

As we enter the run-up to the General Election in May, private equity funds and their managers might want to consider what the possible tax implications of a new Government might be both for the managers of their portfolio...more

ISS and Glass Lewis Update their Proxy Voting Guidelines for 2015

Proxy research and advice entities Institutional Shareholder Services Inc. (“ISS”) and Glass, Lewis & Co., LLC (“Glass Lewis”) recently updated the guidelines each service will use to inform their voting recommendations for...more

Senate Unanimously Approves Bill Modifying ERISA Section 4062(e)

On September 16, 2014, the United States Senate unanimously approved Senate Bill 2511, which would amend Section 4062(e) of the Employee Retirement Income Security Act of 1974, as amended (ERISA), to clarify the definition of...more

New House Bills Seek To Relax Some SEC Requirements And Help Reverse The Growth In Income Inequality

Hat tip to blog for identifying these two new House bills. H.R. 5405, Promoting Job Creation and Reducing Small Business Burdens Act, is intended to relax some additional requirements for Emerging...more

Larger Rewards For Wall Street Whistleblowers May Be On The Horizon

As reported by the Wall Street Journal, the Obama administration will seek to remove the $1.6 million cap on rewards to whistleblowers who provide evidence of criminal conduct by financial executives under the 1989 Financial...more

A Review of the Supreme Court’s 2013-2014 Term

The United States Supreme Court concluded its 2013-2014 term by issuing decisions in several highly publicized employment and employee benefits cases during the Court’s final scheduled sessions, including Noel Canning,...more

SEC Settles with Exempt Reporting Adviser over Pay-to-Play Violations

The SEC settled public administrative proceedings against TL Ventures Inc., a venture capital fund adviser (the “Adviser”), over violations of Rule 206(4)-5 (the “Rule”) under the Investment Advisers Act of 1940 (the...more

SEC Charges Private Equity Firm with Pay-to-Play Violations

For the first time since passing Rule 206(4)-5, the Securities and Exchange Commission (SEC) has charged a Philadelphia-area private equity firm with violations of the pay-to-play rule. The case concerns contributions made...more

Private Fund Adviser Receives Exemptive Relief from Two-Year Compensation Ban under Pay-to-Play Rule Triggered by Contribution to...

An SEC-registered adviser (the “Adviser”) was granted exemptive relief pursuant to Rule 206(4)-5 (the “Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) from the Rule’s two-year prohibition on receiving...more

Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations

It is well-known that high-profile jurisdictions such as California and New York City have in certain instances placed lobbyist registration requirements on investment managers that solicit investment advisory business from...more

Swiss Voters Approve “Against the Rip-Off” Referendum Restricting Corporate Compensation

On March 3, 2013, voters in Switzerland approved a referendum providing one of the world’s most onerous restrictions regarding executive compensation. The referendum entitled, “Eidgenössische Volksinitiative ‘gegen die...more

SEC Commissioner Emphasizes the Need for Robust Proxy Disclosure

On February 20, 2013, SEC Commissioner Luis A. Aguilar delivered a speech regarding the need for more robust disclosure in proxy statements and highlighted areas in which disclosure can be substantially improved....more

Financial Services Legislative And Regulatory Update -- February 4‚ 2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week - Even though the Senate sent a debt limit extension to the...more

Corporate Spending Post-Citizens United Decision Comes under Attack

The Supreme Court decision in Citizens United v. Federal Election Commission, 558 U.S. —, 130 S.Ct. 876 (2010), lifted long-standing limits on corporate and labor union political spending. Prior to Citizens United, federal...more

JOBS Act Will Significantly Relax Restrictions on Capital Raising April 6, 2012

On April 5, 2012, President Obama signed the JOBS Act (Jumpstart Our Business Startups), the culmination of a bipartisan effort by Congress to ease restrictions on capital raising that have affected and guided companies and...more

Update: Outsourcing Accountability Act Voted Down; Call Center Legislation Gains Support

The House of Representatives March 8, 2012, voted down the Outsourcing Accountability Act of 2012 (HR 3875) by a vote of 230 to 175. The bill, originally introduced by Rep. Gary Peters (D-Mich.), would have amended federal...more

SB 398 Signed Into Law, Effective Immediately

Governor Brown Signs SB 398, Amendments to California Placement Agent Disclosures/Lobbyist Registration Laws On Sunday, October 9, 2011, the last day of the period in which the governor could sign or veto pending...more

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