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Results: 1-10 of 197

Does your CD&A need a Section 162(m) disclosure the alternate view

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 16 2014

In our September 4 post, we discussed the case for eliminating the Section 162(m) disclosures in proxy statements

Going inside for insider trading

  • McGuireWoods LLP
  • -
  • United Kingdom, USA
  • -
  • September 11 2014

It is always assumed that sentences in the US for any crime are significantly higher than they are in the UK, but nowhere is this more starkly

SEC charges 28 corporate insiders with failing to disclose transactions in company stock

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 11 2014

On September 10, 2014, the Securities and Exchange Commission (SEC) announced the results of its first-ever sweeping investigation into violations of

New equity plan “must-do”: ISS data verification program

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 3 2014

ISS has announced a new program that allows companies to verify the data that ISS will use to evaluate a new or amended equity plan. The "Equity Plan

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