In this presentation:
- Overview of New Alignment Initiatives
- Board of Directors oversight of new Performance Standards
- Review Methods for Credentialing/Privileging Providers using New Metrics
- Review…more
On May 10, the UK Financial Services Authority (FSA) announced that it fined Martin Currie Investment Management Limited and Martin Currie Inc (together, Martin Currie) £3.5 million (approximately $5.5 million) for conflict of…more
On May 15, the UK Financial Services Authority (FSA) announced that it had fined Habib Bank AG Zurich (Habib Bank) £525,000 (approximately $830,000) and Syed Itrat Hussain (Hussain) its former Money Laundering Reporting Officer…more
The Federal Reserve Board, the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC, and together, the agencies) on February 14 issued final supervisory guidance regarding…more
The Securities and Exchange Commission brought a complaint against the former Chief Financial Officer of a now defunct investment adviser seeking enforcement of the Investment Advisers Act of 1940 (IAA). The U.S. District Court…more
The U.S. Court of Appeals for the Seventh Circuit rejected the argument of a dissenting shareholder in a freezout merger that provisions of Wisconsin’s corporate law were binding contractually on a company’s founders and its…more
Effective May 14, the Division of Corporation Finance of the Securities and Exchange Commission has implemented a secure e-mail system that allows it to receive confidential submissions from “emerging growth companies” (EGCs)…more
In this issue:
- SEC Implements Secure E-mail System for Confidential Submissions
- Seventh Circuit Court of Appeals Rejects Argument That Wisconsin Corporate Law is Part of Articles of Incorporation
- District…more
The U.S. Court of Appeals for the Fifth Circuit last week held that any state claim related to the Federal Emergency Management Agency’s (FEMA) “Write Your Own” (WYO) flood insurance program is preempted by federal law if it is…more
The U.S. District Court for the Southern District of New York last week denied defendants Rajat Gupta and Raj Rajaratnam’s motion to compel documents concerning settlement negotiations between the Securities and Exchange…more
On May 10, Commodity Futures Trading Commission Commissioner Scott O’Malia released a draft of the CFTC’s 2012 rulemaking schedule. The schedule contains a list of the earliest potential dates (ranging from May through the Fall)…more
On May 10, the Commodity Futures Trading Commission issued a notice of a proposed second amendment that extends the CFTC’s prior grant of temporary relief from certain swap-related provisions of the Dodd-Frank Wall Street Reform…more
The NASDAQ Stock Market (NASDAQ) has proposed to adopt an excess order fee commencing on June 1. This fee is intended to reduce the number of non-actionable orders submitted to the NASDAQ market, and thus promote greater order…more
On March 9, 2007, the Securities and Exchange Commission proposed amendments to its net capital, customer protection, books and records and notification rules for broker-dealers. The firm previously summarized these proposed…more
In this issue:
- SEC Reopens Comment Period for Proposed Amendments to Broker-Dealer Financial Responsibility and Related Rules
- NASDAQ Proposes to Institute an Excess Order Fee
- Second Amendment to Effective…more
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