Search results

Order by most recent / most popular / relevance

Results: 1-10 of 19

Client advisory - say on pay - not just for TARP recipients anymore

Edwards Wildman Palmer LLP
-
USA
-
September 10 2009

The House of Representatives recently passed legislation which would require, among other things, an annual stockholder vote on executive compensation

Cost of holding stock certificates to increase sharply on July 1

Edwards Wildman Palmer LLP
-
USA
-
June 25 2009

An imminent change in the processing of stock transfers will cost investors $500 to request physical stock certificates, in addition to other transaction fees

Surprise annual audit proposed for investment advisers with "custody" of client assets

Edwards Wildman Palmer LLP
-
USA
-
June 30 2009

The Securities and Exchange Commission proposes to reinstate surprise annual audits for registered investment advisers with "custody."

Broker discretionary voting for directors eliminated smaller companies will need to work harder for the retail vote

Edwards Wildman Palmer LLP
-
USA
-
July 14 2009

Responding to concerns voiced by shareholder activists and others, the Securities and Exchange Commission has approved a rule change by the New York Stock Exchange that eliminates broker discretionary voting in uncontested elections for directors

Regulation of private investment fund managers advances Treasury introduces registration and investor protection legislation

Edwards Wildman Palmer LLP
-
USA
-
July 20 2009

The Treasury Department has released proposed legislation that would require registration under the Investment Advisers Act as well as substantial disclosure obligations for most managers of private investment funds, including venture capital and private equity funds

SEC requires additional corporate governance and compensation disclosure for 2010 annual meetings

Edwards Wildman Palmer LLP
-
USA
-
December 22 2009

Most public companies will need to provide new disclosures about corporate governance, director qualifications and compensation matters in proxy statements for their 2010 annual meetings

Private fund managers will see increased regulation -- Congress to reconcile differences between House and Senate bills

Edwards Wildman Palmer LLP
-
USA
-
June 3 2010

Hedge fund managers will lose their principal exemption from investment adviser registration with the Securities and Exchange Commission (the "SEC") under bills passed by both houses of Congress

SEC tightens custodial and audit requirements for registered investment advisers who control client assets

Edwards Wildman Palmer LLP
-
USA
-
February 8 2010

If you are a registered investment adviser who - directly or indirectly - has authority to obtain possession of client funds or securities ("custody"), the SEC has increased your compliance burden beginning March 12, 2010

How venture capital fund managers may avoid investment adviser regulation . . . but not reporting

Edwards Wildman Palmer LLP
-
USA
-
November 22 2010

Venture capital fund managers now have an idea of the criteria that will permit continued exemption from investment adviser registration with the Securities and Exchange Commission

Investment advisers: focus on your new disclosures

Edwards Wildman Palmer LLP
-
USA
-
November 8 2010

The March 31 deadline for most registered investment advisers to file their new "firm brochures" is approaching fast

next >