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HTMLSEC Announces 2014 Examination Priorities for Investment Advisers
Thomas M. Devaney, Jung Yeon Son; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
January 22, 2014, previously published on January 17, 2014
On January 9, 2014, the Securities and Exchange Commission released its examination priorities for 2014 (the “2014 Exam Priorities Release”), covering a wide range of issues at financial institutions, including investment advisers and investment companies, hedge funds and private equity...

 

Adobe PDFGlass Lewis 2014 Proxy Season Policy Updates
Jonathan Feldman, Matthew Segal; Goodmans LLP - Toronto;
Legal Alert/Article
December 23, 2013, previously published on December 17, 2013
Proxy advisory firm Glass Lewis & Co. (“GL”) recently released its proxy voting policy updates for the 2014 proxy season. The new guidelines address, among other things, corporate governance, shareholder rights and defences and executive compensation. This update summarizes the...

 

Adobe PDFEuropean Banking Authority Publishes Final Draft Regulatory Technical Standards on Securitisation Retention Rules - Who Can Now Retain in a Managed CLO?
Cadwalader Wickersham Taft LLP;
Legal Alert/Article
December 23, 2013, previously published on December 19, 2013
Earlier this week, the EBA published its final draft Regulatory Technical Standards (“Draft RTS”) on securitisation retention rules and related requirements. The RTS are intended to provide greater clarity and transparency for market participants, and to support compliance and foster...

 

Adobe PDFNIST Cybersecurity Framework Part I: Understanding Its Structure and Potential Impact
Louis S. Dennig, Kimberly Kiefer Peretti; Alston & Bird LLP;
Legal Alert/Article
December 18, 2013, previously published on December 16, 2013
On October 22, 2013, the National Institute of Standards and Technology (NIST) released its Preliminary Cybersecurity Framework (“Framework”), marking one of the final steps in creating the “voluntary” Framework envisioned in an Obama Administration Executive Order (EO)...

 

HTMLCorrectness Is “Fashionable”, But In a Bad Way: SCC Broadens Scope for Administrative Tribunals and Securities Commissions
Elder C. Marques, Ronald Podolny, Helen Richards; McCarthy Tétrault LLP;
Legal Alert/Article
December 18, 2013, previously published on December 17, 2013
The Supreme Court of Canada has released what may be the most important administrative law appeal of the year in McLean v. British Columbia (Securities Commission), reaffirming the deference that administrative tribunals are owed when interpreting their “home” or closely related...

 

HTMLSEC Beefing Up its Risk and Examinations Office
Michael G. Dana, Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 11, 2013, previously published on November 8, 2013
The Securities and Exchange Commission (SEC) is working to improve its Risk and Examinations Office (REO). The REO exists to help provide the SEC with quantitative risk analysis capabilities as it monitors investment companies.

 

HTMLViolations of Custody Rule by Advisers Result in SEC Enforcement Actions
Michael G. Dana, Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 11, 2013, previously published on November 8, 2013
On October 28, 2013, the SEC announced sanctions against three SEC registered investment advisers for violations of the “custody rule” (Rule 206(4)-2) under the Investment Advisers Act of 1940 (Advisers Act).

 

HTMLSEC Focused on Compliance Programs
Michael G. Dana, Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 11, 2013, previously published on November 8, 2013
The Securities and Exchange Commission (SEC) continues to be very focused on compliance programs, and is bringing more enforcement actions to drive home the importance of maintaining a good compliance program. This means the relationship between a board of directors and the fund’s chief...

 

HTMLAffiliated Exchange-Traded Funds May Merge
Michael G. Dana, Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 11, 2013, previously published on November 8, 2013
The Securities and Exchange Commission (SEC) continues to focus on issues related to exchange-traded funds (ETFs), as the market for ETFs continues to grow. For example, the SEC has again hinted that it may adopt rules to facilitate the creation of ETFs, and the SEC has recently provided guidance...

 

HTMLGeorgia Supreme Court Declines to Review Decision Regarding Limitation-of-Liability Clauses in Customer Contracts
Sutherland Asbill Brennan LLP;
Legal Alert/Article
November 8, 2013, previously published on November 6, 2013
This week, the Georgia Supreme Court denied a request to review a divided Georgia Court of Appeals decision with potentially far-reaching consequences for companies that do business in Georgia and rely on limitation-of-liability clauses in their customer contracts. Monitronics International v....

 


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