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.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 193

The SEC waives eligibility requirement and awards whistleblower $400,000

  • McGuireWoods LLP
  • -
  • USA
  • -
  • August 26 2014

Waiving one of the whistleblower award eligibility requirements, the Securities and Exchange Commission recently awarded more than $400,000 to a

SEC guidance on liability of compliance officers: lessons from recent cases

  • McGuireWoods LLP
  • -
  • USA
  • -
  • August 13 2014

In a May 20, 2014, speech, U.S. Securities and Exchange Commission (SEC) Director of Enforcement Andrew Ceresney outlined the circumstances in which

Widening the scope: the SEC turns its attention to alternative mutual funds

  • McGuireWoods LLP
  • -
  • USA
  • -
  • July 25 2014

In a recent speech to the Practising Law Institute's Private Equity Forum, Norm Champ, Director of the SEC's Division of Investment Management

Latest US sanctions against Russia target financial services and energy sector

  • McGuireWoods LLP
  • -
  • Russia, USA
  • -
  • July 17 2014

On Wednesday, July 16, 2014, the United States announced additional sanctions against Russian interests in response to the continuing crisis in

SEC guidance: applying custody rule to private equity scenarios involving SPVs, escrow accounts

  • McGuireWoods LLP
  • -
  • USA
  • -
  • July 16 2014

Managers of private equity funds and other private investment funds that are registered as investment advisers with the Securities and Exchange

The SEC moves to improve “intermediation” in the municipal and corporate fixed income markets

  • McGuireWoods LLP
  • -
  • USA
  • -
  • July 7 2014

The average investor does not get very far when trying to buy a bond in today's municipal and corporate fixed income markets. Some may find it

Update: Second Circuit vacates Judge Rakoff, clarifies standard of review for consent decrees

  • McGuireWoods LLP
  • -
  • USA
  • -
  • June 30 2014

In a much anticipated decision, on June 4 the Second Circuit vacated District Court Judge Rakoff's rejection of a consent judgment approving a $285

Supreme Court: ERISA “stock drop” suits must allege plausible facts to survive motion to dismiss, but no presumption of prudence for ESOP fiduciaries

  • McGuireWoods LLP
  • -
  • USA
  • -
  • June 28 2014

Yesterday, the Supreme Court vacated the Sixth Circuit's decision in Dudenhoeffer v. Fifth Third Bancorp and directed the court of appeals to

Maryland enacts new and modified trust code

  • McGuireWoods LLP
  • -
  • USA
  • -
  • June 17 2014

Recently, Maryland joined more than 25 other states and the District of Columbia in enacting its version of the Uniform Trust Code (UTC). The

SEC private funds unit managers speak on SEC exams

  • McGuireWoods LLP
  • -
  • USA
  • -
  • June 13 2014

The Small Business Investor Alliance (SBIA) held its annual Midwest Private Equity Conference in Chicago on May 29-30, 2014. Co-sponsored by