Top Employment Law Considerations for Startups, with Ashley K Pittman
Revisiting Executive Compensation and Employee Incentive Plans
Blakes Continuity Podcast: Distressed M&A Forecast: A Mix of Sun and Clouds
Balado Continuité – Loin des yeux, près de l’action : règles d’or du télétravail
Day 17 of One Month to More Effective Continuous Improvement-Financial Health Monitoring
Why It Matters - Broker-dealers and investment advisers should take heed of OCIE’s guidance and assess their compliance policies and procedures accordingly. Compliance should consider, in consultation with their counsel,...more
The COVID-19 pandemic has created unprecedented uncertainty for all participants in the U.S. and global economy. To stem the spread of COVID-19, many local and national governments have issued significant restrictions on...more
We are currently at the beginning of an economic downturn driven by a global pandemic that has resulted in unprecedented economic disruption that has been, and will continue to be, severe. ...more
As the coronavirus (COVID-19) pandemic disrupts everyday life throughout the world, boards of directors of corporations working around the clock to understand, address, and mitigate its effects on business operations must...more
COVID-19 is testing every part of a corporation and its business continuity planning. And the very top of the organization — namely, the board of directors — is no exception. What are the board’s responsibilities during...more
The spread of COVID-19 and its impact on the global economy has presented a seemingly endless list of complications for enterprises across a number of industries. ...more
As the COVID-19 (Coronavirus) outbreak continues to wreak havoc across the globe, boards of directors have a critical oversight role to play in helping their companies navigate through these uncertain times. Below is a...more
The Investment Advisers Act of 1940 (the “Advisers Act”) is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has adopted relatively few regulations under the Advisers Act. As any...more
As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more
- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more
Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more
The U.S. Securities and Exchange Commission (SEC) on June 28, 2016, proposed new Rule 206(4)-4 (Proposed Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Proposed Rule would require every SEC-registered...more
The Securities and Exchange Commission (“SEC”) has recently proposed a new rule that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans (“BCP”) reasonably...more
In the last decade, Disaster Recovery (“DR”) and Business Continuity Planning (“BCP”) have become “hot” topics, as companies attempt to deal with disasters and the associated business risks. “Force majeure” is a legal concept...more