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HTMLSEC Staff Issues Guidance on Proxy Voting Matters Relevant to Investment Advisers and Proxy Advisory Firms
Brian V. Breheny, Marc S. Gerber, Richard J. Grossman, Anastasia T. Rockas; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article
July 11, 2014, previously published on July 3, 2014
The U.S. Securities and Exchange Commission’s (SEC) Divisions of Investment Management and Corporation Finance issued a Staff Legal Bulletin on June 30, 2014 that provides guidance on the responsibilities of investment advisers and proxy advisory firms in proxy voting matters. The guidance,...

 

HTMLIIROC Releases Code of Conduct for CDOR without Go Forward Role
Maureen Doherty; Borden Ladner Gervais LLP;
Legal Alert/Article
July 10, 2014, previously published on July 7, 2014
On June 1st, 2014, IIROC released a code of conduct for the Canadian Dollar Offered Rate (“CDOR”). The Code lays out new standards for how banks submit CDOR, internal supervision of the rates and record keeping. In confirming that all CDOR panel members must now be only banks as opposed...

 

HTMLMFDA Enforcement Proceedings
Maureen Doherty; Borden Ladner Gervais LLP;
Legal Alert/Article
July 10, 2014, previously published on July 7, 2014
The Respondent admitted that he had processed trades based on requests from a spouse without power of attorney rather than the client (the “Client”) and that he failed to report a resulting complaint.

 

HTMLCanaccord Genuity Corp. v. Sammy, 2014 ONSC 3691
Maureen Doherty; Borden Ladner Gervais LLP;
Legal Alert/Article
July 10, 2014, previously published on July 7, 2014
An investment advisor’s liability for the re-payment of a transition loan is a simple matter of contract interpretation and can be determined by way of summary judgment.

 

HTMLU.S. Supreme Court Decision Gives More Latitude to Defeat Securities Fraud Class Action Lawsuits Prior to Class Certification
Steven O. Kramer, Jonathan D. Moss, John P. Stigi; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
July 10, 2014, previously published on June 25, 2014
In Halliburton Co. v. Erica P. John Fund, Inc., No. 13-317, -- S Ct. --, 2014 WL 2807181 (U.S. June 23, 2014), the United States Supreme Court refused to overturn the landmark decision Basic v. Levinson, but ruled that securities class action defendants may rebut the fraud-on-the-market presumption...

 

HTMLNew Connecticut Pharmacy Rewards Disclosure Bill Took Effect July 1
Stephanie D. Willis; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
July 10, 2014, previously published on July 2, 2014
On June 12th, Connecticut governor Dannel P. Malloy signed into law ”An Act Concerning Pharmacy Rewards Programs And Protected Health Information“. The law went into effect July 1st, and applies to pharmacy retailers in the state of Connecticut. We profiled the version of the law passed...

 

HTMLIIROC Enforcement Proceedings
Maureen Doherty; Borden Ladner Gervais LLP;
Legal Alert/Article
July 10, 2014, previously published on July 7, 2014
A branch manager reached a settlement agreement with IIROC whereby he agreed to a fine of $20,000, $2,000 in costs and a 12 month suspension from acting in any supervisory capacity.

 

HTMLSecond Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
Manuel F. Gomez, Jeff Kern; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
July 10, 2014, previously published on July 7, 2014
In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285 million settlement between the Securities and Exchange...

 

HTMLFourth Circuit Rules Whistleblower Failed to Show Disclosures Were a Contributing Factor to His Firing
Bryan B. House, Pamela L. Johnston, Courtney Worcester; Foley & Lardner LLP;
Legal Alert/Article
July 9, 2014, previously published on July 2, 2014
In Feldman v. Law Enforcement Associates Corporation, No. 13-1849, 2014 U.S. App. LEXIS 8833 (4th Cir. May 12, 2014), the United States Court of Appeals for the Fourth Circuit concluded that a whistleblower, Paul Feldman, failed to demonstrate that his disclosures of alleged company wrongdoing were...

 

Adobe PDFProtection of Personally Identifiable Information
Lamb Barnosky LLP;
Legal Alert/Article
July 9, 2014, previously published on June 25, 2014
The 2014-2015 New York State Budget was passed on March 31, 2014. The Budget includes, among other things, legislation creating Education Law Section 2-d which protects the privacy of personally identifiable information and creates a parents bill of rights regarding the privacy and security of...

 


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