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Results: 1-10 of 221

PCAOB update: 2015 budget and broker-dealer audits

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 20 2015

On Feb. 4, 2015, Public Company Accounting Oversight Board (PCAOB) Chairman James R. Doty provided an update on the Board’s 2015 budget at the

SEC proposes rules for hedging disclosure

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 13 2015

The Securities and Exchange Commission (SEC) recently released proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and

How does your firm compare? Results from the SEC’s cybersecurity examinations

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 12 2015

On Feb. 3, 2015, the Securities and Exchange Commission (SEC) published a Risk Alert summarizing observations gleaned from a cybersecurity

ISS Equity Plan Scorecard first results in

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 9 2015

According to ISS, Emerson Electric (the Fergusson, Mo. - based electrical equipment manufacturer) was the first U.S. company to which ISS applied its

The SEC’s 2015 examination priorities: implications for private equity fund managers

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 5 2015

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released its examination

SEC to allow abbreviated tender or exchange offers for non-convertible debt securities

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 3 2015

On January 23, 2015, the Securities and Exchange Commission (SEC) granted no action relief in response to a letter submitted on behalf of a

Tippee liability for insider trading remains focus in Second Circuit following Newman, Conradt

  • McGuireWoods LLP
  • -
  • USA
  • -
  • January 30 2015

The significant impact on insider trading prosecutions following the Second Circuit’s landmark ruling in United States v. Newman, 773 F.3d 438 (2d

DOJ, SEC inquiry into Och-Ziff Capital “placement fee” payment highlights continuing FCPA scrutiny

  • McGuireWoods LLP
  • -
  • USA
  • -
  • January 8 2015

Och-Ziff Capital Management (Och-Ziff), a publicly traded hedge fund, hasdisclosed that it is the subject of an ongoing investigation by the U.S

SEC seeks serious penalties against sands brothers and its senior officers for alleged repeated custody rule violations

  • McGuireWoods LLP
  • -
  • USA
  • -
  • January 5 2015

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

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