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Hold Onto Your Hats! DOL Sends "Regular Rate" Rule For Review
On January 23, 2019, the Department of Labor ("DOL") passed along another potential bombshell rule ...
United States
1 Feb 2019
SEC Charges EB-5 Brokers With Violation Of The Exchange Act
According to the SEC, Ireeco LLC, originally located in Boca Raton, Florida, and its successor Ireeco Limited, a Hong Kong-based company and 100 percent owner of Ireeco, LLC, failed to register with the SEC...
United States
15 Jul 2015
SEC Enforcement Division Outlines Focus For 2015
The Enforcement Division is developing new technology tools to enable it to more effectively discover and prosecute securities fraud.
United States
2 Apr 2015
SEC FCPA Enforcement Action Against Goodyear And Investigation Of Mondelez International Provide Valuable Lessons For U.S. Companies Seeking To Acquire Foreign Entities
On February 24, 2015, the Securities and Exchange Commission issued an Order settling an administrative proceeding that charged Goodyear Tire & Rubber Company with violating the Foreign Corrupt Practices Act.
United States
19 Mar 2015
Yates v. United States: Supreme Court Reins In Sarbanes-Oxley Act’s "Anti-Shredding" Provision
The implications of the Court's decision are significant, and the certainty provided by the Supreme Court is welcome.
United States
11 Mar 2015
Board Oversight of Political Contributions Is Steadily Rising
In September 2013, the Center for Political Accountability and the Zicklin Center for Business Ethics Research published their third annual index of political accountability and disclosure (2013 Index), which focuses on political spending disclosure of the top 200 companies in the S&P 500 Index
United States
27 Nov 2013
SEC Issues Compliance And Disclosure Interpretations On Disclosure Of Activities Relating To Iran
In August 2012, the Iran Threat Reduction and Syria Human Rights Act of 2012 became law.
United States
1 Feb 2013
Ready Or Not? Final Compliance Program Guidelines Have Come
There are no more excuses for failing to adopt a comprehensive compliance program.
United States
18 Dec 2012
What Should Funds Expect In SEC Examinations?
Recently, the Director of the SEC Office of Compliance Inspections and Examinations (OCIE), Carlo V. di Florio, addressed the Private Equity International Private Fund Compliance Forum.
United States
11 Jun 2012
SEC Issues Guidance On The Use Of Company Web Sites
In August 2008, the Securities and Exchange Commission published an interpretive release providing guidance on the use of company web sites under the Securities Exchange Act of 1934 and the antifraud provisions of the securities laws.
United States
23 Oct 2008
Keeping A Watchful Eye: Corporate Deferred Prosecution Agreements And The Selection Of Corporate Monitors
For the past three years, an increasing number of companies have avoided conviction in cases brought by the Department of Justice (DOJ) by entering into deferred prosecution agreements (DPAs) or nonprosecution agreements (NPAs).
United States
3 Jul 2008
Delaware Chancery Court Interprets Advance-Notice Bylaw As Not Requiring A Shareholder To Provide Advance Notice For Director Nominations
Earlier this year, the Delaware Court of Chancery issued a surprising decision in JANA Master Fund, Ltd. v. CNET Networks, Inc.,1 interpreting the advance-notice provision of a public company’s bylaws to apply only to nominations and proposals that are intended to be included in a company’s proxy materials pursuant to SEC Rule 14a-8. SEC Rule 14a-8 provides the conditions under which a shareholder can include a proposal in a public company’s proxy materials, and the procedures with which the sha
United States
14 May 2008
No “Bright Lines” Drawn By New Foreign Investment Regulations
The Committee on Foreign Investment in the United States (“CFIUS”) has issued long-awaited proposed regulations implementing amendments to Section 721 of the Defense Production Act of 1950 that were enacted last year as the Foreign Investment and National Security Act of 2007 (the “Act” or “FINSA”).
United States
24 Apr 2008
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