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Results: 1-10 of 829

Firm sanctioned for breach of fiduciary duty and violation of the compliance rule

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 22 2015

The SEC sanctioned a registered investment adviser for breaching its fiduciary duty by failing to disclose to its clients a conflict of interest

OCIE targets never-before-examined investment companies for compliance exams

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 22 2015

The SEC’s Office of Compliance Inspections and Examinations in a Risk Alert dated April 20, 2015, announced a program targeting investment companies

The SEC defines “voting equity securities” for purposes of the Rule 506(d) bad actor disqualification rules

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 21 2015

The SEC is continuing to tie up some loose ends left over from the adoption of the Rule 506(d) bad actor disqualification rules. Certainty regarding

No-action relief granted for three-tier fund structure

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 20 2015

The SEC's Division of Investment Management on April 3, 2015, said that it will not recommend enforcement proceedings against an investment adviser

SEC Division of Investment Management cautions advisers on acceptance of gifts and entertainment

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 20 2015

Fund compliance policies and procedures should address the receipt of gifts or entertainment by fund advisory personnel, according to guidance

Attorneys general education program’s fifth annual public policy institute on financial services regulation

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 16 2015

This program will explore several major issues at the forefront of financial services regulation and litigation, with a particular focus on issues of

Top ten international anti-corruption developments for March 2015

  • Morrison & Foerster LLP
  • -
  • Canada, China, USA
  • -
  • April 14 2015

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international

Update on SEC rulemaking

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 12 2015

Chair White, addressing the Investor Advisory Committee, provided an update on SEC rulemaking. Chair White identified the following initiatives: the

Investor Advisory Committee meeting

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 3 2015

The SEC Investor Advisory Committee will hold its next meeting on Thursday, April 9, 2015, beginning at 9.30am. The meeting will be webcast on the

SEC charges directors, officers and major investors for failing to update disclosures prior to announcements of going private transactions

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 30 2015

On March 13, 2015, the U.S. Securities and Exchange Commission announced settlement proceedings against officers, directors, and major shareholders of