Goodwin Procter LLP

Exchange Place 53 State Street
Boston, MA 02109, United States

  • 617.570.1000
  • 617.523.1231

Third Circuit Affirms Dismissal of Excessive Fee Claims Against Insurer

The Third Circuit has affirmed dismissal of all claims against the insurer in a 401(k) excessive fee suit, rejecting arguments that the insurer is an ERISA fiduciary for its product's fees, even where the service provider has…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Insurance

Financial Services Weekly News Roundup - September 2014 #2

In this Issue: Last week brought news of several enforcement actions by the SEC against investment advisers on a number of issues: Rule 105 of Regulation M, improper withdrawals characterized as management fees, violation of…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Charges Officers, Directors, Stockholders and Companies for Failure to Timely File Reports Under Sections 13 and 16 of the Exchange Act

The director of the SEC’s Division of Enforcement, Andrew Ceresney, said that using quantitative analytics the SEC has identified various individuals and companies with especially high rates of filing deficiencies and emphasized…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

The Patent Trial and Appeal Board Second Anniversary: Reflections and Strategies For The Years Ahead

What a difference two years can make. In 2012, the America Invents Act (“AIA”) created new proceedings to challenge the validity of claims in issued patents. These proceedings are administered by the United States Patent…more
| Civil Procedure, Intellectual Property, Science, Computers, & Technology

How To Avoid Common Data Breach Pitfalls

Cost of Data Breach in 2014: - $5.9 million U.S. average cost of a data breach - 15% Annual increase in the average cost of a data breach around the world - $201 Average cost paid for each exposed…more
| Commercial Law & Contracts, Labor & Employment Law, Privacy, Science, Computers, & Technology

The Internet of Things: The Future of Listening

What is the Internet of Things? - The Internet of Things (IoT) conceptually refers to the dynamic networks that link physical objects with the virtual world via Internet connection, enabling “things” to sense, log,…more
| Commercial Law & Contracts, Privacy, Science, Computers, & Technology

Dodd-Frank’s New Deputies of Federal Consumer Financial Laws—States

In the wake of the Financial Crisis, the federal government has invigorated its civil fraud enforcement. The U.S. Department of Justice has dominated the headlines in this area with a series of significant lawsuits and…more
| Civil Procedure, Finance & Banking, Consumer Protection

Financial Services Weekly News Roundup - September 2014

In This Issue: The CFTC provided long-awaited exemptive relief for commodity pool operators that wish to offer their funds in private offerings using general solicitation under Rule 506(c) of the SEC’s Regulation D…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Wynn for the Win in the Fight for Boston-Area Casino License

After morning presentations by both Mohegan Sun and Wynn, the Commissioners continued their final deliberations of the two applicants for the sole Boston-area casino license, and voted today 3-1 to award the license to Wynn MA…more
| Art, Entertainment, & Sports Law

Massachusetts Gaming Commission Continues Evaluation and Asks to Hear More From Applicants

Last week, the Massachusetts Gaming Commission announced that it was “rapidly approaching the completion of the Evaluation Process” for the Region A resort-casino license applications submitted by Wynn and Mohegan Sun. The…more
| Art, Entertainment, & Sports Law, Zoning, Planning & Land Use

ISS Introduces Equity Plan Data Verification Web Site for U.S. Companies

As a supplement to its existing QuickScore data verification portal, ISS has announced a new Equity Plan Data Verification portal. Equity Plan Data Verification will provide eligible companies with an opportunity to preview,…more
| Commercial Law & Contracts, Science, Computers, & Technology

SEC Staff Grants No-Action Relief for Advisory Fee Rebate

The staff of the SEC’s Division of Investment Management (the “Staff”) granted no-action relief with respect to the rebate of advisory fees by Amerivest Investment Management, LLC (the “Adviser”) to eligible clients for which it…more
| Finance & Banking, Securities Law

SEC Settles With Hedge Fund Adviser Over Trade Allocations and Disclosures Regarding Trading and Investment Strategies

The SEC settled administrative proceedings against Structured Portfolio Management, L.L.C., a hedge fund adviser (the “Adviser”), and two of its affiliated advisers, SPM Jr., L.L.C. (“Adviser A”) and SPM IV, L.L.C. (“Adviser…more
| Finance & Banking, Securities Law

Odds Continue to Favor the House on Proposed Casino Repeal in Massachusetts

After a summer of no polling on the ballot initiative to repeal the Massachusetts gaming law (Question 3), pollsters announced the results of three polls in the last week of August and the first week of September. All three…more
| Art, Entertainment, & Sports Law, Elections & Politics

OCC Issues Final Guidelines Calling for Heightened Standards for Governance and Risk Management of Large Financial Institutions

The OCC issued final guidelines (the “Final Guidelines”) that call for strengthened governance and risk management practices at the following categories of large financial institutions with $50 billion or more in average total…more
| Finance & Banking
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800+ Attorneys

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