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Results: 1-10 of 16

FINRA proposal requires disclosure of enhanced compensation

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 16 2013

Continuing ongoing efforts to address conflicts of interest in the financial services industry, FINRA requested comments on a Proposed Rule

Post election update

  • Bracewell & Giuliani LLP
  • -
  • USA
  • -
  • November 9 2012

The voters have now spoken in one of the most hotly contested and expensive races in American history, and the net effect of countervailing political winds was ironically to perpetuate the political status quo

General counsel update

  • Herbert Smith Freehills LLP
  • -
  • China, European Union, Germany, Hong Kong, Indonesia, Mongolia, Singapore, United Kingdom, USA
  • -
  • July 11 2012

This is the thirtieth in our series of general counsel updates which aim to summarise major developments in key areas

US political law compliance and risk management

  • Dentons
  • -
  • USA
  • -
  • April 3 2012

The influence of Super PACs on the Republican presidential primary has been well-documented

Financial services L&E advisory: 12 issues to watch in 2012

  • Epstein Becker Green
  • -
  • USA
  • -
  • February 21 2012

For employers in the financial services industry, 2012 is already shaping up to be a mixed bag

Court finds legal fees for employees deposed as fact witnesses are covered

  • Wiley Rein LLP
  • -
  • USA
  • -
  • August 26 2011

The United States District Court for the Southern District of California has determined that a directors and officers liability policy affords coverage for legal fees paid for counsel representing employees of the company deposed as fact witnesses in litigation against the company’s officers

Financial services pay

  • Gibson Dunn & Crutcher LLP
  • -
  • USA
  • -
  • January 31 2011

On 1 January 2011, the Financial Services Authority's revised Remuneration Code (the "Code") came into force and now applies to approximately 2,500 FSA registered firms

Golden guidance on golden parachutes

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 9 2010

The FDIC issued Financial Institution Letter 66-2010 ("FIL-66-2010") providing guidance on regulatory expectations with respect to applications to make permissible golden parachute payments

ERISA advisory - proposed regulation redefining fiduciary

  • Steptoe & Johnson LLP
  • -
  • USA
  • -
  • November 5 2010

On October 21, 2010, the Department of Labor (Department) proposed a wholesale revision to its regulation that defines the term “fiduciary” under ERISA and the Internal Revenue Code

New whistleblower protections for financial service employees

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • October 1 2010

Much attention has been given to the whistleblower protections of Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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