We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 80

Former Tyco director settles with pension fund in opt-out action
  • Locke Lord LLP
  • USA
  • January 4 2010

In 2002, Tyco became embroiled in a well-publicized scandal arising out of alleged corporate looting by the company’s top management


SEC and NAIC take affirmative steps to address corporate disclosures regarding climate change
  • Locke Lord LLP
  • USA
  • October 27 2009

On October 2, 2009, as part of the 48th Annual Corporate Counsel Institute held at Northwestern University School of Law, SEC Commissioner Elisse B. Walter gave a speech entitled “SEC Rulemaking ‘Advancing The Law’ To Protect Investors.”


The Financial Services Authority publishes independent review of financial promotions compliance
  • Locke Lord LLP
  • United Kingdom
  • January 26 2010

The Financial Services Authority (FSA) has recently published the results of an independent review of firms' compliance with its financial promotions requirements (the Review


Changes in securities & insurance regulation affecting enforcement strategies ALI-ABA conference on insurance & financial services litigation
  • Locke Lord LLP
  • USA
  • July 19 2010

Speakers at the ALI-ABA's annual conference on insurance and financial services regulation in Chicago offered extensive commentary on changes in enforcement strategies for insurance and securities fraud, in light of recent overhauls to the regulatory scheme


Speech by Sally Dewar - taking the FSA's corporate governance agenda forward
  • Locke Lord LLP
  • United Kingdom
  • April 6 2010

Sally Dewar, the Financial Services Authority's (FSA) managing director of Risk, gave a speech entitled "Taking the FSA's corporate governance agenda forward" at the City Corporate Governance and Remuneration Summit on 30 March 2010


International Public Company D&O: Status & Trends - Canada
  • Locke Lord LLP
  • Canada
  • April 14 2010

Class action securities claims are a perennially interesting topic for attorneys and companies around the world and across industries


Financial Services Act 2010
  • Locke Lord LLP
  • United Kingdom
  • April 16 2010

The Financial Services Act 2010 (the Act) received Royal Assent on 8 April 2010


Hedge funds back down in Argentina claim after asset freeze fails
  • Locke Lord LLP
  • Argentina, USA
  • April 19 2010

Hedge funds seeking to recover more than $554 million in judgments against Argentina have reportedly withdrawn court appeals to stop assets being taken out of accounts at Citibank, diminishing their chances of ultimate success


Connecticut Attorney General labels credit rating agencies as “enablers of the wrongdoing,” and calls for regulatory reform to end their system of compensation
  • Locke Lord LLP
  • USA
  • April 26 2010

On April 23, 2010, Connecticut Attorney General Richard Blumenthal gave written testimony during to a hearing held by the U.S. Senate’s Permanent Subcommittee on Investigations regarding the nation’s financial rating agencies


Supreme Court upholds Gartenberg test for mutual funds’ compensation of investment advisers
  • Locke Lord LLP
  • USA
  • May 5 2010

The Supreme Court recently issued an important decision regarding the test for determining whether an investment adviser has violated its "fiduciary duty" to a mutual fund by charging excessive fees under 36(b) of the Investment Company Act of 1940