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HTMLNew Tips for Tipsters: A Quick Review Of the More Vital Variations to the Osc's Proposed Whistleblower Program
Suzanne Kittell, Laura Paglia, Caitlin Sainsbury; Borden Ladner Gervais LLP;
Legal Alert/Article
November 27, 2015, previously published on November 10, 2015
The Ontario Securities Commission published the Proposed OSC Policy 15-601 Whistleblower Program for comment on October 28, 2015, containing some noteworthy changes since Staff's Consultation Paper 15-401 on February 3, 2015 as we summarized here. It is open for comment until January 16, 2016.


HTMLBonds May Be the Next Wave of FINRA Claims
Denis C. Dice; Marshall Dennehey Warner Coleman & Goggin, P.C.;
Legal Alert/Article
November 25, 2015, previously published on December 1, 2015
Interest rates have been at an all time low for approximately the last nine years. The Federal Reserve has artificially reduced interest rates in an effort to stimulate the economy and provide additional liquidity. In addition, the stock market has been in a bull market since March of 2009. This...


HTMLMagnolia LNG Announces Contract with KBR-SK JV for Export Terminal Construction
Sutherland Asbill Brennan LLP;
Legal Alert/Article
November 20, 2015, previously published on Novemebr 18, 2015
Magnolia LNG announced that it has executed a legally binding lump sum turnkey engineering, procurement and construction contract with the KBR-SKE&C joint venture for the proposed Magnolia LNG export terminal project at Lake Charles, La. The contract costs $4.354 billion and covers the engineering,...


HTMLSEC Issues Guidance Limiting Exclusion of Shareholder Proposals
Bachar Mahmoud, Michael R. Neidell; Olshan Frome Wolosky LLP;
Legal Alert/Article
November 19, 2015, previously published on November 18, 2015
On October 22, 2015, the Staff of the Securities and Exchange Commission (the “Staff”) issued Staff Legal Bulletin No. 14H (the “Bulletin”), which provides guidance on how the Staff will evaluate arguments for excluding Rule 14a-8 shareholder proposals from reporting...


HTMLThe Credit Default Swap Settlement - Antitrust Cases Provide Recovery Opportunities for Institutional Investors
Joel D. Rothman; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
November 18, 2015, previously published on November 5, 2015
Recently, class plaintiffs moved for the preliminary approval of a $1.865 billion settlement of the Credit Default Swap Antitrust Litigation. In this case the plaintiffs alleged that, in and around 2008 and 2009, a number of financial institutions conspired to prevent new entrants from successfully...


HTMLSecurities Regulator Enforcement Committee  Sanctions Investment Firm for Failing to Check Authorizations of Business Providers
Philippe Goutay, Anselme Mialon; Jones Day;
Legal Alert/Article
November 13, 2015, previously published on November 2015
A European investment firm passported (on a cross-border basis and through a local branch) to act in France, active in the field of FX trading, provides a number of investment services to French investors. This firm relied on various business providers to increase its client base. The services...


HTMLRevisions to Partnership Audit Rules Could Have Significant Impact on Private Funds
Sutherland Asbill Brennan LLP;
Legal Alert/Article
November 12, 2015, previously published on November 11, 2015
On November 2, 2015, President Obama signed the Budget Act of 2015 (the “2015 Budget Act”), which makes significant amendments to the procedural rules governing federal income tax audits and judicial proceedings that apply to partnerships and other entities (such as limited liability...


HTMLSEC Settles Charges With Private Equity Fund Advisers Over Misallocated Expenses
Sutherland Asbill Brennan LLP;
Legal Alert/Article
November 11, 2015, previously published on November 10, 2015
Last week, the SEC announced that it had agreed to settle charges with two more private equity fund advisers. In its action against Cherokee Investment Partners, LLC and Cherokee Advisers, LLC (the “advisers”), the SEC alleged that the advisers inappropriately allocated $455,698 of...


HTMLAmendments to Ontario PPSA Location of Debtor Rules
James Mathers; Borden Ladner Gervais LLP;
Legal Alert/Article
November 10, 2015, previously published on November 5, 2015
The Ontario government has recently proclaimed 31 December 2015 as the effective date for amendments to the Personal Property Security Act (PPSA) of Ontario that affect the definition of the location of a debtor.1 The location of the debtor is important under the PPSA for determining the...


HTMLDon’t End Up on a USCIS List of Terminated EB-5 Regional Centers: Be Creative and on Time with your I-924A Filing
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
November 10, 2015, previously published on November 4, 2015
USCIS updated its online list of terminated EB-5 regional centers on October 22, 2015. In the coming two months, regional centers are required to comply with the requirement to file their Forms I-924A in order to update USCIS on relevant job creating activity over the past year. We expect that...


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