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Results: 1-10 of 353

SEC issues wells notice to PIMCO over fund valuations
  • McGuireWoods LLP
  • USA
  • August 28 2015

On Monday, August 3, 2015, Pacific Investment Management Co. LLC (Pimco) announced that it had received a Wells notice from the Securities and


FinCEN proposes rule requiring investment advisor AML compliance
  • McGuireWoods LLP
  • USA
  • August 25 2015

Investment advisors may soon face increased costs and scrutiny thanks to a proposed rule issued by the Financial Crimes Enforcement Network (FinCEN


SEC finalizes CEO pay ratio rules
  • McGuireWoods LLP
  • USA
  • August 12 2015

As noted in this McGuireWoods alert, the SEC recently finalized the CEO pay ratio disclosure requirements under Section 953(b) of the Dodd Frank Act


SEC finalizes CEO pay-ratio rule with delayed effective date
  • McGuireWoods LLP
  • USA
  • August 11 2015

On Aug. 5, 2015, the Securities and Exchange Commission (SEC) adopted a final rule implementing the CEO pay-ratio disclosure requirements of Section


SEC considers updating the accredited investor definition
  • McGuireWoods LLP
  • USA
  • July 29 2015

The accredited investor (AI) definition is a crucial component of the private placement market. As required by the Dodd-Frank Act, the Securities and


SEC’s whistleblower program awards over $3 million to company insider
  • McGuireWoods LLP
  • USA
  • July 22 2015

On Friday, July 17, the Securities and Exchange Commission (SEC) announced that it will award more than $3 million to a company insider who helped the


SEC proposes broadened executive compensation “clawback” rules
  • McGuireWoods LLP
  • USA
  • July 2 2015

On July 1, the SEC proposed rules requiring national security exchanges (such as NYSE and Nasdaq) to establish listing standards requiring publicly


SEC proposes clawback rules
  • McGuireWoods LLP
  • USA
  • July 2 2015

Yesterday, the SEC proposed the long-awaited executive compensation clawback rules under Section 954 of the Dodd Frank Act. Weighing in at over 100


Fitbit IPO cyber risk disclosures
  • McGuireWoods LLP
  • USA
  • May 29 2015

Earlier this month, fitness-tracking company Fitbit, Inc. filed a Form S-1 Registration Statement for an IPO of up to $100 million that exhaustively


SEC Division of Investment Management issues cybersecurity guidance for investment funds and advisers
  • McGuireWoods LLP
  • USA
  • May 13 2015

The U.S. Securities and Exchange Commission's ("SEC") Division of Investment Management ("Division") recently released a Guidance Update ("Guidance"