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HTMLOCIE Director Repeats Concerns About Compliance Issues Found During Private Equity Adviser Exams
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
Andrew J. Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) once again in a recent speech to industry representatives, described various areas of concern found by OCIE examiners during examinations of private equity advisers.

 

HTMLMutual Funds and Advisers Should Evaluate Oversight of Proxy Advisory Firms
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The SEC has issued guidance regarding proxy advisory firms, in the form of 13 Questions and Answers, published in Staff Legal Bulletin No. 20 (“SLB 20”). The Staff’s guidance addresses, among other things, investment advisers’ responsibilities in voting client proxies and...

 

HTMLMisusing Client Assets Results in Sanctions Against a Registered Investment Adviser
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The owner of a Washington state-based investment advisory firm was recently sanctioned by the SEC for multiple violations of the Investment Advisers Act of 1940, including the fraudulent use of client assets for his own personal use.

 

HTMLOpportunities and Challenges for Suppliers in Mexico
Steven H. Hilfinger; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
Last week the Original Equipment Suppliers Association (OESA) hosted an event entitled “Supplier Opportunities and Challenges in Mexico” that I attended. It was a great program as always by OESA, and I wanted to share some of the highlights that I took away from it.

 

HTMLComments on Patent Subject Matter Eligibility Guidance Due by July 31
Courtenay C. Brinckerhoff; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 28, 2014
This week brings the July 31, 2014 deadline for submitting written comments on two USPTO patent subject matter eligibility guidance documents: The “Myriad-Mayo” Guidance issued March 4, 2014 (for claims involving laws of nature, natural phenomena, and natural products) and the...

 

HTMLThe USPTO Patent Subject Matter Eligibility Guidance TRIPS Over Treaty Requirements
Simon J. Elliott; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 30, 2014
The “Myriad-Mayo” patent subject matter eligibility guidance issued March 4, 2014 reflects the USPTO’s interpretation of Supreme Court cases interpreting and applying 35 USC § 101 to claims involving laws of nature, natural phenomena, and natural products, but the USPTO...

 

HTMLDecaying National Infrastructure Is Challenging the Resurgence of American Manufacturing
Christian Caballero; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
At a recent manufacturing summit hosted in Washington, D.C. by the National Association of Manufacturers (NAM), Vice President Biden effectively made the case for linking manufacturing and infrastructure development as inextricably linked e-components of a growing economy. The nation’s...

 

HTMLProtection Against Foreign Anticompetitive Practices Affecting U.S. Activities
Francis J. Burke, Michael A. Naranjo; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 29, 2014
Antitrust laws, like the Sherman Act, protect American markets from anticompetitive practices. But, under the Foreign Trade Antitrust Improvements Act (FTAIA), American antitrust laws only reach foreign conduct in specific circumstances. For example, an anticompetitive act committed abroad must,...

 

HTMLRenewed Call for Investment Adviser User Fees
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
As we reported in previous editions of our Investment Management Newsletter, various persons have proposed that a user fee be imposed on SEC registered investment advisers in order to fund a more extensive examination program by the SEC.

 

HTMLRecent Cases Discuss U.S. Antitrust Issues in Global Supply Chains
Francis J. Burke, Michael A. Naranjo; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 30, 2014
Two recent court decisions examined the reach of U.S. antitrust laws to protect against injuries affecting global supply chains. The Foreign Trade Antitrust Improvement Act (FTAIA) limits the application of U.S. antitrust laws to foreign conduct unless the foreign conduct has (1) a direct,...

 


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