We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Lexology logo






  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 183

CFTC update: certain equity total return swaps to count toward de minimis exemption starting July 1

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • June 18 2013

Approximately six months ago (on Dec. 21, 2012), the Commodity Futures Trading Commission staff provided temporary no-action relief1 allowing

SEC publishes Conflict Minerals FAQS

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • May 31 2013

Late yesterday afternoon, the SEC published its first 12 FAQs concerning the Conflict Minerals Rule. Most significantly, the FAQs provide guidance on

US private fund advisers likely to have another year to comply with the AIFM Directive for marketing in the UK

  • Schulte Roth & Zabel LLP
  • -
  • United Kingdom, USA
  • -
  • May 2 2013

HM Treasury, which is the legislative body responsible for implementing the Alternative Investment Fund Managers Directive (“AIFM Directive”) into

Is conflict minerals regulation going international? New developments in Canada and the EU

  • Schulte Roth & Zabel LLP
  • -
  • Canada, European Union, USA
  • -
  • April 9 2013

In late March, Canada and the EU both took steps toward the further regulation of the use of conflict minerals. As discussed below, these initiatives

SEC focuses on broker-dealer registration issues facing private fund managers

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • April 9 2013

The Securities and Exchange Commission recently has made broker-dealer registration an area of focus for private fund managers. On March 8, 2013, the

Supreme Court rules securities class action plaintiffs need not prove materiality at class certification stage

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • March 4 2013

On Feb. 27, 2013, the U.S. Supreme Court ruled that securities fraud class action plaintiffs are not required to prove the materiality of alleged

Ramping up Conflict Minerals Rule compliance a near-term checklist for public and private companies

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • January 14 2013

The SEC's Conflict Minerals Rule took effect on Jan. 1, 2013. In a nutshell, the rule requires public companies to conduct supply chain diligence and

New FCPA guidance highlights importance of effective compliance procedures

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • November 19 2012

On Nov. 14, 2012, the Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) jointly issued A Resource Guide to the U.S. Foreign Corrupt Practices Act (the “Guide”

Conflict minerals rule challenged in courtwhat should public and private companies do now? Near-term action items in today’s uncertain regulatory environment

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • November 9 2012

On Oct. 19 2012, a lawsuit challenging the SEC’s Conflict Minerals Rule was filed with the Court of Appeals for the D.C. Circuit by the National Association of Manufacturers and the U.S. Chamber of Commerce

SEC’s conflict minerals rule challenged in court

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • October 22 2012

The National Association of Manufacturers and the U.S. Chamber of Commerce have filed a Petition for Review requesting that the SEC’s Conflict Minerals Rule be modified or set aside

Current Search

Suggested Facets

Author

Jurisdiction

Workarea

© Copyright 2006-2013 Globe Business Publishing Ltd | Cookies | Disclaimer | Privacy policy