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Document(s) published by this organization: 242


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HTMLSEC Sanctions Three Issuers for Failing to Timely Disclose Equity Issuances
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
In the last week of September, the SEC Enforcement division brought three separate enforcement actions against companies for failure to timely report issuances of unregistered equity securities on Form 8-K and Form 10-Q. The actions are similar to the 10 enforcement actions brought by the SEC in...

 

HTMLSEC Sanctions Company for Misrepresentation of Performance Metrics
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
In the last week of September, the SEC Enforcement division brought three separate enforcement actions against companies for failure to timely report issuances of unregistered equity securities on Form 8-K and Form 10-Q. The actions are similar to the 10 enforcement actions brought by the SEC in...

 

HTMLEnd of Tandy Representations
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
On Oct. 5, 2016, the Division of Corporation Finance announced that, effective immediately, they will no longer require issuers to include “Tandy” representations in responses to SEC comment letters. Tandy representations, which have been required in all such response letters since...

 

HTMLRecent SEC Comment Letter Provides Insight to SEC’s Current Views on Non-GAAP Measures
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
A recently released SEC comment letter provides issuers additional insight into the views of the staff of the Division of Corporation Finance on the use of certain non-GAAP financial measures. The comment letter, issued in July 2016, questioned whether certain of the issuer’s non-GAAP...

 

HTMLDelaware Chancery Court Clarifies that Disclosure Claims Should Be Brought Pre-Closing
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
In an opinion issued Sept. 28, 2016, the Court of Chancery of Delaware clarified its position that claims challenging the sufficiency of proxy solicitation disclosures should be brought during the pre-closing period of a merger transaction in order to insure a fully informed vote of the...

 

HTMLUK to Implement Fourth Money Laundering Directive, Presenting an Opportunity for the Gaming Sector to Provide Input
Lisa Navarro; Greenberg Traurig Maher LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
The current EU Money Laundering and Terrorist Financing (ML/TF) measures are contained in the Third Money Laundering Directive (3MLD). 3MLD was implemented into UK law by the Money Laundering Regulations 2007, the Proceeds of Crime Act 2002, and the Terrorism Act 2000. These Regulations promote a...

 

HTMLSEC Update on Proxy Access
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
On Sept. 27, 2016, the staff of the Division of Corporation Finance issued three no-action letters in response to requests to exclude shareholder proxy access proposals on the basis that the companies had already “substantially implemented” the proposals.

 

HTMLRecently Issued Accounting Standards - The SEC’s View on Disclosure
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
The SEC staff recently addressed best practices for financial statement disclosure in periods leading up to the adoption of recently issued accounting standard updates, or ASUs. In particular, the SEC staff commented on the application of Staff Accounting Bulletin (SAB) Topic 11.M “Disclosure...

 

HTMLSEC Chair, Mary Jo White, on the Importance of Board Diversity and Possible Change in Board Diversity Disclosure
Greenberg Traurig LLP;
Legal Alert/Article
October 17, 2016, previously published on October 3, 2016
Throughout the year, Mary Jo White, Chair of the SEC, has spoken on the issue of greater diversity on company boards and more informative board diversity disclosures.

 

HTMLU.S. Government Designates an International Payments Processing Network as Specially Designated Nationals, Continuing its Aggressive Use of Targeted Sanctions Against Non-U.S. Financial Firms that Allegedly Facilitate Unlawful Business Activities
Carl A. Fornaris, Sandra K. Jorgensen, Renee A. Latour; Greenberg Traurig, LLP;
Legal Alert/Article
October 17, 2016, previously published on October 12, 2016
On Sept. 22, 2016, the U.S. Department of the Treasury through its Office of Foreign Assets Control (OFAC) imposed sanctions against the PacNet Group (PacNet), a Canada-based international payments processor and money services business, and the entire PacNet operation, including a global network of...

 


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