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Results: 1-10 of 35

Recent SEC settlement illustrates potential threat of derivatives that separate the voting and economic interests of common stock

  • Hunton & Williams LLP
  • -
  • USA
  • -
  • July 29 2009

On July 21, 2009, the Securities and Exchange Commission (“SEC”) announced a settlement agreement with Perry Corp. (“Perry”) stemming from the hedge fund’s alleged failure to disclose its accumulation of nearly 10 percent of an issuer’s voting shares with the intent of influencing a merger vote

Senate passes comprehensive financial reform bill

  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • -
  • USA
  • -
  • May 26 2010

On May 20, 2010, the United States Senate passed, by a margin of 59 to 39, the Restoring Financial Stability Act of 2010 (the "Bill"), which is aimed at strengthening the US financial system and preventing future crises

SEC and CFTC settle charges against accounting firms and former partner in connection with Sentinel Management Group

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • October 8 2010

On October 4, 2010, the Securities and Exchange Commission ("SEC") and the Commodities Futures Trading Commission ("CFTC") simultaneously filed and settled two actions against roughly the same set of accounting defendants arising out of their audits and examinations of Sentinel Management Group, Inc. ("Sentinel"

Financial reform legislation: a guide to the employment-related provisions

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • August 5 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Wall Street Reform Act) was signed into law by President Obama on July 21, 2010

The sounds of new whistleblower awards and protections under the Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Epstein Becker Green
  • -
  • USA
  • -
  • August 17 2010

With its enactment of financial reform legislation, Congress has elevated and expanded whistleblowing, giving it a more critical and mainstream function in the regulatory and enforcement scheme

International regulatory update 11-18 February 2011

  • Clifford Chance LLP
  • -
  • Bahrain, European Union, Global, Switzerland, United Kingdom
  • -
  • February 21 2011

The European Commission has published a progress report on its initiatives to reform financial services regulation

Congress passes finalized financial reform bill

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • July 19 2010

On July 15, 2010, the Senate passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank bill") by a vote of 60 to 39

CBOE and CHX amend rules to prohibit broker discretionary voting on director elections and other matters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 26 2010

On March 18, the Securities and Exchange Commission issued Releases No. 34-61732 and 34-61733 describing immediately effective changes to Chicago Board Options Exchange, Incorporated (CBOE) and Chicago Stock Exchange (CHX) rules regarding broker discretionary voting

International regulatory update 2-6 May 2011

  • Clifford Chance LLP
  • -
  • Bahrain, European Union, Germany, Hong Kong, India, Netherlands, Switzerland, United Kingdom, USA
  • -
  • May 9 2011

The US Treasury Department has published a Notice of Proposed Determination exempting FX swaps and forwards from the central clearing and exchange trading requirements imposed by the Dodd-Frank Act

International regulatory update 21-25 November 2011

  • Clifford Chance LLP
  • -
  • Australia, Belgium, Czech Republic, European Union, Global, Hong Kong, Netherlands, United Kingdom, USA
  • -
  • November 28 2011

The Financial Markets Law Committee (FMLC) has published a paper responding to the UK government’s consultation paper entitled ‘A new approach to financial regulation: the blueprint for reform’, which was published in June 2011

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