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Universal Trading & Inv. Co. v. Bureau for Representing Ukrainian Interests in Int'l & Foreign Courts, No. 10-12015, 2012 U.S. Dist. LEXIS 133736 (D. Mass. Sept. 19, 2012)

  • Baker & McKenzie
  • -
  • Ukraine, USA
  • -
  • March 25 2013

Plaintiffs were Universal Trading and Investment Company, Inc. ("UTICo"), a Massachusetts corporation engaged in international asset recovery

Final rules requiring listing standards for compensation committees and compensation advisors

  • Baker & McKenzie
  • -
  • USA
  • -
  • September 6 2012

Rule 10C-1 requires the exchanges to adopt listing standards permitting the compensation committee to select compensation advisors only after considering the following independence factors: (1) whether the company that employs the compensation advisor provides any other services to the issuer; (2) the total fees the issuer has paid to the company that employs the compensation advisor, expressed as a percentage of the compensation advisor’s total revenue; (3) the policies and procedures of the company that employs the compensation advisor that are designed to prevent conflicts of interest; (4) whether the compensation advisor has any business or personal relationship with a member of the compensation committee; (5) whether the compensation advisor owns any stock of the issuer; and (6) whether the compensation advisor or the person employing the advisor has any business or personal relationship with an executive officer of the issuer

SEC adopts rules for compensation committee members and compensation advisers

  • Baker & McKenzie
  • -
  • USA
  • -
  • July 6 2012

In June 20, 2012, the Securities and Exchange Commission (SEC) adopted final rules to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act

Effective compliance program helps investment bank avoid FCPA criminal charges

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 14 2012

When a former Morgan Stanley Managing Director pled guilty recently to a criminal violation of the U.S. Foreign Corrupt Practices Act ("FCPA"), the effectiveness of the bank's pre-existing anti-corruption compliance program convinced enforcers at the U.S. Department of Justice ("DOJ") and Securities and Exchange Commission ("SEC") not to charge the bank itself

Recent developments for the fourth quarter 2011

  • Baker & McKenzie
  • -
  • Canada, China, Denmark, European Union, France, Germany, Ireland, Italy, Japan, Netherlands, Switzerland, United Kingdom, USA
  • -
  • March 15 2012

The end of the year and beginning of a new year is always a busy time for us, as it is for most of our clients

Recent developments for the first quarter 2011

  • Baker & McKenzie
  • -
  • Australia, China, Costa Rica, France, India, Ireland, Israel, Malaysia, Mexico, Morocco, Russia, Slovakia, Spain, United Kingdom, USA
  • -
  • May 10 2011

This letter is from the Global Equity Services ("GES") group in San Francisco, Chicago and New York

SEC issues proposed Dodd-Frank whistleblower rules

  • Baker & McKenzie
  • -
  • USA
  • -
  • November 8 2010

On November 3, 2010, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules for implementing the whistleblower program established by Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”

Shareholder access to corporate boards may soon be a reality

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 26 2009

After countless years of debate on the subject and following the Delaware corporate law amendments discussed below, the SEC recently voted to propose rule amendments to facilitate the rights of shareholders to nominate directors on corporate boards

Delaware corporate law: what’s new?

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 26 2009

Important amendments to the Delaware corporate law statute were recently enacted and will become effective August 1, 2009

The SEC’s forecast for 2009: a sneak preview at the Schapiro Commission

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 26 2009

In a recent address before the Council of Institutional Investors, SEC Commissioner Mary L. Schapiro discussed several items on the Commission’s agenda for the remainder of 2009

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