Mondaq USA: Corporate/Commercial Law
Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule amendment to permanently adopt minimum quotation sizes for OTC equity securities implemented under the Tier Size Pilot Program ("Pilot").
Cadwalader, Wickersham & Taft LLP
FINRA proposed amendments to its suitability rule that would remove the requirement that a broker-dealer must have "control" over a customer account ...
Foley Hoag LLP
On April 24, the U.S. Supreme Court held that plaintiffs may not bring claims against corporations domiciled outside the United States in Alien Tort Statute ("ATS") cases.
Cooley LLP
In this recent Cooley Alert, SEC Issues New Guidance on Cybersecurity Disclosure and Policies, we wrote that the SEC had not yet brought a formal enforcement proceeding for failure to make timely disclosure regarding...
Fredrikson & Byron, P.A.
When negotiating the sale of a bank, the buyers and sellers often engage in a kabuki dance over the indemnification provisions of the agreement.
Duff and Phelps
Big data's becoming a big issue for hedge funds and other managers, and it could cause some major problems for compliance.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Litigation financing has quickly grown from a fledging concept into a robust industry. The concept is simple: in exchange for a share of any proceeds, a financing firm agrees to pay all ...
Duane Morris LLP
In July 2017, Vietnam International Joint Stock Commercial Bank bought 100% business of Commonwealth Bank of Australia (Ho Chi Minh Branch).
Morrison & Foerster LLP
On April 20, 2018, FINRA issued proposed amendments to Rule 2111's "quantitative suitability" provisions.
Cooley LLP
You, like me, may have been the recipient of many, many, many calls from various persons claiming to be from the IRS and threatening you with imprisonment.
Shearman & Sterling LLP
On April 17, 2018, Judge Katherine Polk Failla of the United States District Court for the Southern District of New York denied class certification in an action asserting claims for breach of contract...
Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 16 to April 20, 2018.
Cadwalader, Wickersham & Taft LLP
The SEC filed additional fraud charges in connection with the recently shut down Centra Tech, Inc. ("Centra") initial coin offering.
Cadwalader, Wickersham & Taft LLP
FINRA proposed extending the effective date for certain amendments to FINRA Rule 4210 to March 25, 2019.
Pomerantz LLP
For more than eight decades, the Securities Act of 1933 has protected investors by requiring full disclosure in initial public offerings. As President Roosevelt explained at the time of its enactment ...
Ropes & Gray LLP
On April 3, 2018, the Superior Court of Washington for King County issued a decision affirming the use of enhanced advance notice bylaws and finding that the board's decision to reject a deficient notice...
Morgan Lewis
In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules ...
Stroock & Stroock & Lavan LLP
On April 12, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert highlighting the most frequent advisory fee...
Vivanco & Vivanco Corporate Services LLC
Corporate Governance in a company is a concept relatively easy to define. It is the system formed by the relations between shareholders, organs of administration and of executive management...
WilmerHale
Startups should expect to pivot and iterate, but taking time to consider a coherent business strategy can save a company from a lot of pain down the road.
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Ruchelman PLLC
Change driven by development of intellectual property ("I.P.") is now a constant. Whether the I.P. user is a tax adviser accessing a digital library, an auto mechanic interfacing with an engine...
Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Jones Day
The Situation: In what may indicate a sea change in terms of who the Department of Justice ("DOJ") is willing to pursue in False Claims Act cases, a private equity firm has been named as a co-defendant in a False Claims Act complaint, along with one of its portfolio companies.
Schnader Harrison Segal & Lewis LLP
Last November, Deputy Attorney General Rod Rosenstein announced a new enforcement policy. Under the new policy, businesses subject to the FCPA may avoid criminal liability by self-reporting wrongdoing, ...
Carlton Fields
Many federal, state, and local governmental employees may be eligible for awards pursuant to the SEC's whistleblower program under the Dodd-Frank Act.
Ruchelman PLLC
Commencing in January 2018, the I.R.S. began a new centralized audit regime with respect to partnerships. It replaces the concept of a "Tax Matters Partner" with a "Partnership Representative.
Matson Driscoll & Damico
What's so important about having a valuation of my company?
WilmerHale
Cybersecurity is one of the highest priority issues for public company executives and directors. This note shares our views—developed over our involvement in the aftermath...
Ropes & Gray LLP
After years of looming on the fringes, 2018 is likely to go down as the year that corporate social responsibility compliance became a core responsibility of in-house legal departments.
Jones Day
The U.S. Congress passed the CLOUD Act amending U.S. surveillance laws to facilitate law enforcement access to the contents of communications and other related data.
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