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HTMLSEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC has proposed extending to December 31, 2016, the sunset date for the expiration of Rule 206(3)-3T (the “Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). The Rule allows SEC-registered investment advisers who are also SEC-registered...

 

HTMLSEC Adopts Regulation AB II
Cheryl D. Barnes, Joseph W. Beach, David Burkholder, Michael S. Gambro, Anna H. Glick; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
September 2, 2014, previously published on August 28, 2014
Yesterday morning the Securities and Exchange Commission in an open meeting voted to adopt long-awaited final rules (the "Final Rules") implementing a series of changes to the registration and offering process for asset-backed securities (“ABS”) and expanded disclosure and...

 

HTML12 Years after Sox, the SEC has Not Become Complacent about Compliance
Chase Cole, Andrew Edward Garrett, E. Marlee Mitchell, James "Jay" H. Nixon, Wes Scott; Waller Lansden Dortch & Davis, LLP;
Legal Alert/Article
September 1, 2014, previously published on August 26, 2014
With the twelfth anniversary of the implementation of the Sarbanes Oxley Act of 2002 (“SOX”) swiftly approaching, it may or may not be coincidental that the SEC has been involved in several SOX-related enforcement actions recently, including (i) bringing charges against the CEO and...

 

HTMLAllegations of Insider Trading in Baffinland Dismissed
Duncan Finley; Borden Ladner Gervais LLP;
Legal Alert/Article
September 1, 2014, previously published on August 28, 2014
A panel of the Ontario Securities Commission (“OSC”) has dismissed allegations against Jowdat Waheed and Bruce Walter of insider trading, tipping and conduct contrary to the public interest in connection with a toehold purchase and subsequent hostile takeover bid of Baffinland Iron...

 

HTMLUSA PATRIOT Act/AML Update: FinCEN Issues Long-Awaited Proposed Regulations Regarding Beneficial Ownership Disclosure
Carl A. Fornaris, Wendy Li, Micah Schwalb; Greenberg Traurig, LLP;
Legal Alert/Article
September 1, 2014, previously published on August 25, 2014
On July 23, 2014, the Financial Crimes Enforcement Network of the U.S. Department of the Treasury (FinCEN) published highly-anticipated proposed regulations that, if adopted into final regulations, would require banks, securities broker dealers, mutual funds, futures commission merchants, and...

 

HTMLU.S. Treasury Raises Bar on Corporate Compliance Obligations
Kara M. Bombach, Cyril T. Brennan; Greenberg Traurig, LLP;
Legal Alert/Article
September 1, 2014, previously published on August 25, 2014
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) recently expanded its guidance for determining whether an entity is considered to be owned by a sanctioned person, and therefore is the target of U.S. economic sanctions (the 50 Percent Rule). The expanded guidance...

 

Adobe PDFAdministrative and Legislative Options to Address US Corporate Inversions
David M. McIntosh, Anthony "Toby" Moffett; Mayer Brown LLP;
Legal Alert/Article
August 29, 2014, previously published on August 28, 2014
The topic of tax incentives for US corporations seeking to “invert” and become a subsidiary of a foreign corporation is receiving heightened attention in Congress and federal agencies.

 

HTMLDismissal and Termination of Contract of a Managing Director
Michael Rainer, Michael Rainer; GRP Rainer LLP;
Legal Alert/Article
August 28, 2014, previously published on August 27, 2014
In the context of dismissing and terminating the contract of a managing director, essential points have to be observed.

 

HTMLIRS Issues New Guidance Regarding Beginning of Construction Requirement for Production Tax Credit (PTC) / Investment Tax Credit (ITC)
Gregory J. Blasi; Leech Tishman;
Legal Alert/Article
August 28, 2014, previously published on August 14, 2014
The IRS recently issued new guidance (IRS Notice 2014-46) with respect to the ability to claim the PTC/ITC for qualified projects which began construction before January 1, 2014. The current guidance builds on the previous two notices but does add some additional items which should make it easier...

 

Adobe PDFRestructuring of Unlisted EU Companies: AIFMD Applies to Non-EU Fund Managers on Acquisitions of Substantial Stakes
Robert Cannon, Assia Damianova, Mitzi Huang, Nick Shiren; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
August 28, 2014, previously published on August 27, 2014
The Alternative Investment Fund Managers Directive ("AIFMD") imposes restrictions on "asset stripping" on managers ("AIFMs") of alternative investment funds ("AIFs") that acquire control of EU companies. The rules contain new notification requirements (as low...

 


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