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Corporate governance

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 10 2013

Although subjects such as "say on pay," political contribution disclosure, and boardroom diversity have dominated the corporate governance

SEC Ranieri case: the consequences of being an unregistered finder

  • Thompson Hine LLP
  • -
  • USA
  • -
  • June 11 2013

The Securities and Exchange Commission (SEC) recently brought charges against a New York-based private equity firm, Ranieri Partners LLC, after

This week in securities litigation (week ending June 14, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 14 2013

The Commission filed a settled action alleging fraud in connection with a going private transaction based on Exchange Act Section 13(e). The agency

SOX and whistleblowers - any fraud will do

  • Morvillo Abramowitz Grand Iason & Anello PC
  • -
  • USA
  • -
  • June 13 2013

Section 806 of the Sarbanes-Oxley Act ("SOX") prohibits publicly-traded companies from retaliating against employees who report various acts of

New York’s highest court delivers important disgorgement decision

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • June 12 2013

On June 11, 2013, the New York State Court of Appeals reinstated a policyholder's claim for coverage for a $160 million "disgorgement" payment to the

Retaliation gets a broader view

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • June 10 2013

Retaliation cases continue to grow in number and, in a decision on June 4, 2013 of the Tenth Circuit Court of Appeals, in scope as well. There, the

Financial services legislative & regulatory issues update June 10

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • June 10 2013

And the beat goes on Another week with the White House dealing with another issue, this time news that the national security apparatus is

SEC approves FINRA Rule change that requires reporting OTC equity transactions within 10 seconds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 31 2013

The Securities and Exchange Commission has approved a proposed rule change by the Financial Industry Regulatory Authority requiring that transactions

A rising voice on FCPA compliance: the court

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • June 6 2013

One FCPA compliance topic we are often asked about by clients is how government investigations start. The U.S. Department of Justice (DOJ) and the

Form 42: UK reporting requirements for US corporate share schemes

  • DLA Piper
  • -
  • United Kingdom, USA
  • -
  • June 6 2013

Any company offering UK-based employees any form of rights in the company's stock should be aware that these employees may have reporting

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