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Results: 1-10 of 375

NYDFS Revises Its Proposed Cybersecurity Regulation for Financial Services Companies
  • Schulte Roth & Zabel LLP
  • USA
  • January 4 2017

On Dec. 28, 2016, the New York State Department of Financial Services ("NYDFS") issued revisions to its proposed regulation that would impose new


SEC Whistleblower Update: New Enforcement Actions for ‘Chilling’ Language in Severance Agreements
  • Schulte Roth & Zabel LLP
  • USA
  • December 22 2016

The Securities and Exchange Commission (“SEC”) continues to actively enforce Rule 21F-17 under the Securities Exchange Act of 1934, which provides


Volcker Rule Update: New Guidance on Extensions for Illiquid Fund Investments
  • Schulte Roth & Zabel LLP
  • USA
  • December 14 2016

On Dec. 12, 2016, the Federal Reserve Board (“Board”) issued a policy statement clarifying how it will consider requests for extensions made by


Third Circuit Enforces Post-Acceleration Make-Whole Premium
  • Schulte Roth & Zabel LLP
  • USA
  • November 18 2016

The U.S. Court of Appeals for the Third Circuit held on Nov. 17, 2016 that a debtor’s refinancing of its first and second lien notes during its


New Form ADV: The Impact on Private Fund Advisers
  • Schulte Roth & Zabel LLP
  • USA
  • September 19 2016

On Aug. 25, 2016, the U.S. Securities and Exchange Commission adopted a final rule that amends Form ADV the filing that investment advisers


NYDFS Proposes Detailed and Sweeping Cybersecurity Regulation for Financial Services Companies
  • Schulte Roth & Zabel LLP
  • USA
  • September 15 2016

On Sept. 13, 2016, the New York State Department of Financial Services (“NYDFS”) issued a proposed regulation that would impose new, rigorous


Seventh Circuit Limits Bankruptcy Safe Harbor Protection
  • Schulte Roth & Zabel LLP
  • USA
  • September 8 2016

The safe harbor protection of Bankruptcy Code (“Code”) 546(e) does not protect “transfers that are simply conducted through financial institutions,”


Recent Developments in Executive Compensation
  • Schulte Roth & Zabel LLP
  • USA
  • August 19 2016

There have been several relatively minor, yet notable, developments affecting executive compensation this year. This Alert provides an overview of


Hart-Scott-Rodino Update: Investor Fined for Violation Even Without a Stock ‘Purchase’
  • Schulte Roth & Zabel LLP
  • USA
  • August 12 2016

On Aug. 10, 2016, Caledonia Investments plc ("Caledonia") agreed to settle Federal Trade Commission ("FTC") charges that Caledonia violated the


Activism and Passivity: HSR Act and Section 13(d) Developments for Investors
  • Schulte Roth & Zabel LLP
  • USA
  • July 28 2016

On July 12, 2016, the U.S. Department of Justice (the "DOJ") announced that investment firm ValueAct had entered into a consent decree in which it