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Results: 1-10 of 44,662

NASAA Publishes Fraud Alert for EB-5 Investors
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • August 26 2016

Recently, the North American Securities Administrators Association (NASAA), which is the oldest international organization devoted to investor


Canadian Securities Laws, Issuer Websites and Social Media: Do The Evolution
  • Blake Cassels & Graydon LLP
  • Canada, USA
  • August 26 2016

A lot has changed since the '90s and change has, for the most part, been a good thing, although I still have a nostalgic yearning to wear plaid


SEC Imposes Immediate Ban on Fined Unfair Trading Directors and Executives
  • Baker & McKenzie
  • USA
  • August 26 2016

Effective from 1 August 2016, Thailand's Securities and Exchange Commission (the "SEC") issued a notification on Determination of Untrustworthy


New ADV Rule
  • Greenberg Traurig LLP
  • USA
  • August 25 2016

Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment


Comments on PCAOB reproposal of expanded audit report reflect predictable split
  • Cooley LLP
  • USA
  • August 25 2016

As discussed in this PubCo post, in May of this year, after five years of outreach, the PCAOB once again attempted to make the auditor’s report more


Advantages of Using ESOPs To Structure Acquisitions and Divestitures In An Uncertain Economy
  • McDermott Will & Emery
  • USA
  • August 25 2016

M&A advisors are becoming increasingly familiar with leveraged ESOP transactions and are routinely considering the ESOP platform in structuring


You May Not Stack the Deck: SEC Announces Penalties Against Companies Requiring Employees to Waive Whistleblower Protections to Receive Severance
  • Bryan Cave LLP
  • Ireland, USA
  • August 25 2016

The Securities and Exchange Commission ("SEC") recently announced that two companies agreed to pay penalties of more than $500,000, combined, for


SEC Cracks Down On Anti-Whistleblower Severance Agreements
  • Fisher Phillips
  • USA
  • August 25 2016

The federal Securities and Exchange Commission (SEC) has issued six-figure fines to two different employers in the past several weeks, claiming that


SEC Cracks Down on Company Policies that Prevent Employees from Reporting Fraud
  • Katz Marshall & Banks LLP
  • USA
  • August 25 2016

In recent whistleblower blogs, we wrote about the U.S. Securities and Exchange Commission (SEC) efforts to enforce an important rule preventing


CFTC Enforcement Action Underscores Rule That Retail Forex Dealers Cannot Guarantee Customer Losses
  • Mayer Brown LLP
  • USA
  • August 25 2016

On August 18, 2016, the US Commodity Futures Trading Commission (CFTC) filed its first enforcement action against a registered retail foreign