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Searching Content indexed under Securitization & Structured Finance by Proskauer Rose LLP ordered by Published Date Descending.
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Regulation Round Up December 2018
The European Central Bank ("ECB") published a document setting out its cyber resilient oversign expectations for financial market infrastructures.
UK
8 Jan 2019
2
Regulation Round Up - August 2018
The Financial Conduct Authority ("FCA") published a statement on selling high-risk speculative investment products to retail clients, following the publication of the European Securities...
UK
6 Sep 2018
3
Lending & Secured Finance 2018 – Analysis And Update On The Continuing Evolution Of Terms In Private Credit Transactions
For the past seven years, The Private Credit Group at Proskauer Rose LLP has tracked deal data for private credit transactions (our "data").
United States
14 Jun 2018
4
SEC Finds Metadata Contradicts CCO's Statement In Examination
Parallax was a registered investment advisor that provided advisory services to individuals, entities and a private fund, Parallax Capital Partners, focusing almost exclusively on mortgage-backed bonds...
United States
12 Aug 2015
5
SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations Of Illiquid Securities
The SEC charged that the overvaluations improperly increased the management and performance fees collected by the adviser.
United States
7 Jul 2015
6
Senator Warren's Letter To The SEC Chair Calls For More Aggressive Enforcement
Senator Elizabeth Warren recently released a letter to SEC Chair Mary Jo White, complaining that her leadership of the SEC over the past two years has been "extremely disappointing."
United States
5 Jun 2015
7
Preparing For The 2012 Proxy Season: Looking Back At The Last Season And Forward To The Next
Dodd-Frank say-on-pay votes had a big impact on the 2011 proxy season, and issuers under criticism for their pay practices should expect continued shareholder pressure on the say-on-pay front.
United States
18 Nov 2011
8
Supreme Court Holds Proof Of Loss Causation Not Required For Class Certification - But Challenges Remain To The Presumption Of Reliance
In Erica P. John Fund, Inc. v. Halliburton Co., 563 U.S. ___ (2011) ("Halliburton"), the Supreme Court held that proof of loss causation was not required to obtain class certification, unanimously reversing the Fifth Circuit, which had established a contrary rule in Oscar Private Equity Invs. v. Allegiance Telecom, Inc., 487 F.3d 261, 269 (5th Cir. 2007), and applied that contrary rule to affirm the denial of class certification in Erica P. John Fund, Inc., 597 F.3d 330 (5th Cir. 2010).
United States
16 Jun 2011
9
Testing The Limits Of Primary Violations Under §10(b)
Although the line between primary and secondary violations of §10(b) and Rule 10b-5(b) in private civil litigation has been sharply drawn, particularly after "Stoneridge", courts have struggled to articulate that distinction when the violations alleged are premised upon a course of deceptive conduct under Rule 10b-5(a) and (c) rather than upon misstatements and omissions under Rule 10b-(5)(b).
United States
21 Oct 2008
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