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SEC seeks serious penalties against sands brothers and its senior officers for alleged repeated custody rule violations - former compliance officer expected to settle

  • McGuireWoods LLP
  • -
  • USA
  • -
  • December 10 2014

On October 29, 2014, the SEC announced that it had instituted administrative proceedings under the Investment Advisers Act of 1940 against Sands

SBIC Advisers Relief Act of 2014 lowers regulatory costs of SBIC advisers

  • McGuireWoods LLP
  • -
  • USA
  • -
  • December 9 2014

On December 2, 2014, the House of Representatives passed the SBIC Advisers Relief Act of 2014 (SBIC Relief Act). The House also passed the Promoting

Delay in Dodd-Frank executive compensation rules

  • McGuireWoods LLP
  • -
  • USA
  • -
  • December 3 2014

The Securities and Exchange Commission recently indicated that further rule-making would not likely occur until October of 2015 with respect to: Pay

Advertised private placements under Rule 506(c): status of proposed investor protections and summary of comments received by the SEC

  • McGuireWoods LLP
  • -
  • USA
  • -
  • November 12 2014

On July 10, 2013, the SEC proposed significant changes affecting private offerings under Rule 506 of Regulation D, the most frequently used

Amending Rule 23: lessons from the PSLRA

  • McGuireWoods LLP
  • -
  • USA
  • -
  • November 12 2014

Earlier this year, it became clear that the Advisory Committee on Civil Rules is considering possible amendments to Rule 23. As Tony Lathrop’s post

Discretionary equity vesting a sleeper issue in ISS 2015 policy updates

  • McGuireWoods LLP
  • -
  • USA
  • -
  • November 10 2014

Last Thursday, ISS released its final 2015 proxy voting policy updates. The only significant change in the executive compensation area relates to

Update on Brazil: Embraer SA and anti-corruption progress

  • McGuireWoods LLP
  • -
  • Brazil, USA
  • -
  • November 7 2014

Imagine you are a compliance officer for a multinational company with securities listed on a U.S. stock market. The Foreign Corrupt Practices Act

Law enforcement bliss: the SEC as policeman, Judge and jury

  • McGuireWoods LLP
  • -
  • USA
  • -
  • November 7 2014

New York's Southern District Court Judge Jed Rakoff is always worth listening to. He expresses trenchant views about the rule of law elegantly and

SEC charges private equity fund adviser with misallocation of portfolio company expenses

  • McGuireWoods LLP
  • -
  • USA
  • -
  • November 5 2014

On September 22, 2014, the SEC announced that Lincolnshire Management Inc. agreed to settle charges that it breached its fiduciary duty to a pair of

Compensation committees get prepared for auditor visits

  • McGuireWoods LLP
  • -
  • USA
  • -
  • October 29 2014

The SEC’s approval of the new PCAOB auditing standards for risk related to material misstatements creates a bridge between compensation committees and