News & Analysis as of

Enforcement Board of Directors Enforcement Actions

A Compilation of Enforcement and Non-Enforcement Actions

by Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

Financial Services Weekly News Roundup - June 2015 #4

by Goodwin on

Regulatory Developments - Client Alert: SEC Proposes Pay for Performance Rules: Goodwin Procter’s Capital Markets practice has issued a Client Alert on the SEC’s proposed rule that would require most public...more

What public companies and their Officers, Directors and Significant Shareholders should do about the SEC’s crackdown on the...

by McCarter & English, LLP on

Earlier this month, the Securities and Exchange Commission announced enforcement charges against 28 officers, directors and significant shareholders, including hedge funds and large financial institutions, for failing to...more

SEC Request For O&D Bar Denied

by Dorsey & Whitney LLP on

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding the person from being an officer or director of any public company. That, of...more

Land of Confusion: Insurance Coverage for Pre-Suit FCPA Investigation Costs under D&O liability Policies

Bloomberg recently reported that Walmart spent $439 Million in the past two years related to a Foreign Corrupt Practices Act (“FCPA”) investigation . Moreover, Walmart predicts that it will spend an additional $200 Million to...more

Antitrust and competition enforcement is changing fast: our report for multinationals from 3 global conferences

by DLA Piper on

The world of antitrust/competition enforcement is changing more rapidly than ever. This evolving environment presents new challenges for companies with multinational operations, their executives and their advisers....more

Hart-Scott-Rodino 2013 Annual Report: Filings Decreased, Transactions Investigated Increased and Enforcement Continues for...

by Perkins Coie on

On May 21, 2014, the Federal Trade Commission and the Department of Justice published the Hart-Scott-Rodino Annual Report Fiscal Year 2013 (for the period from October 1, 2012 to September 30, 2013). The Annual Report...more

Pushing Corporate Boards To A New Style Of Governance

by Michael Volkov on

In the coming years, the pressure on corporate boards will reach new levels. Enforcement agencies are scouring investigations and sources of information to bring civil and criminal cases against board members. Activist...more

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Cybersecurity

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