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Investment management legal regulatory update - February 2015

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 26 2015

On February 9, 2015, the Securities and Exchange Commission (SEC) proposed amendments to its rules to implement Section 955 of the Dodd-Frank Wall

SEC remarks at the Practising Law Institute’s program titled “SEC Speaks in 2015”

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 24 2015

On February 20, 2015, several representatives from the SEC spoke at the Practising Law Institute's program titled "SEC Speaks in 2015," including

SEC charges alt fund adviser with custody violations

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 18 2015

The Securities and Exchange Commission on February 12, 2015, entered findings against an investment adviser to several alternative mutual funds for

SEC proposes rule requiring hedging disclosure

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 13 2015

On February 9, 2015, the Securities and Exchange Commission (the "Commission") proposed amendments to its rules to implement Section 955 of the

Proposed hedging disclosures to apply to EGCS

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

The SEC recently proposed amendments to require disclosure of whether employees and directors of public companies are permitted to hedge or offset

SEC reports the result of its cybersecurity sweep of broker-dealers and investment advisers

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

An SEC cybersecurity sweep examination by the SEC’s Office of Compliance Inspections and Examinations (OCIE) found that 88 percent of the

2014 insider trading annual review

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 11 2015

2014 will be remembered as the year that the Department of Justice’s (“DOJ”) winning streak in insider trading cases came to an end. The last few

The JOBS Act and research analysts

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 5 2015

In a recent paper titled “Analyst Research Quality and the JOBS Act: Effects of Increased Pre-IPO Communication” Michael Dambra (University of

P2P lending basics: how it works, current regulations and considerations

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 4 2015

Peer-to-peer, or person-to-person, lending (“P2P lending”) is a type of crowdfunding that involves the facilitation of loan originations outside of

Advisory Committee to vote on accredited investor definition

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 2 2015

The SEC announced that its Advisory Committee on Small and Emerging Companies will hold a public meeting on February 17 in order to vote on