On November 10, 2015, the US Court of Appeals for the Second Circuit issued an opinion reaffirming that the attorney-client privilege and work product protections were not waived by a businessman and his company when they...more
On September 22, 2015, the Securities and Exchange Commission (SEC) filed a settled administrative proceeding[1] alleging that a registered investment adviser failed to adopt cybersecurity procedures in violation of an SEC...more
Recent decisions by the US Court of Appeals for the Third Circuit and the Delaware Court of Chancery have raised important issues regarding fee advancement bylaws or policies of Delaware corporations.
...more
7/21/2015
/ Appeals ,
Attorney's Fees ,
Board of Directors ,
Bylaws ,
C-Suite Executives ,
Contract Drafting ,
Corporate Officers ,
Criminal Prosecution ,
Delaware General Corporation Law ,
Goldman Sachs ,
Indemnification Clauses ,
Insider Trading
I. Cybersecurity; Its Importance and Relevance – How We Got to Where We Are Today -
In the past few months, the White House, Home Depot, JP Morgan, Hard Rock Hotels, Tesla, the St. Louis Federal Reserve, the Internal...more
6/24/2015
/ Best Practices ,
CFTC ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Department of Justice (DOJ) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
NASD ,
NFA ,
Popular ,
Regulation S-P ,
Regulatory Agencies ,
Regulatory Agenda ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Strategic Planning
A US District Court in the Southern District of New York recently ordered Bank of China Limited (BOC) to produce thousands of documents that the court found not to be protected by the attorney-client privilege or work-product...more