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Court of appeals upholds SEC's backtesting finding
  • Morrison & Foerster LLP
  • USA
  • February 14 2017

In a recent case, a former investment adviser lost a petition to review and vacate a Securities and Exchange Commission (SEC) administrative law


EGC corporate governance practices
  • Morrison & Foerster LLP
  • USA
  • February 13 2017

During 2016, there were relatively few companies that completed initial public offerings ("IPOs"). Some commentators attribute the dearth of IPOs in


Tax Talk - Volume 9, No. 4 February 2017
  • Morrison & Foerster LLP
  • OECD, United Kingdom, USA
  • February 13 2017

In case you haven't heard, Donald Trump is now president of the United States. Republicans now control the House, Senate, and Presidency. With this


The Future of Investment Management Regulation: What to Expect in 2017
  • Morrison & Foerster LLP
  • USA
  • February 13 2017

In this fast-changing regulatory environment, the long-term consequences both intended and unintended of recent White House actions remain uncertain


OCIE Identifies Top Five Adviser Compliance Issues
  • Morrison & Foerster LLP
  • USA
  • February 9 2017

In a new Risk Alert, OCIE’s National Exam Program provided investment advisers with insight into the five compliance topics most frequently identified


Updated Market Statistics
  • Morrison & Foerster LLP
  • USA
  • February 8 2017

At the 35th Annual Federal Securities Institute, a representative of the Securities and Exchange Commission shared some market data. From its


NYSE Issues Its 2017 Listed Company Compliance Guide Memoranda for Both Domestic Issuers and FPIs
  • Morrison & Foerster LLP
  • USA
  • February 3 2017

On February 1, 2017, the NYSE issued separate Listed Company Compliance Guidance memoranda for both U.S. companies (“Domestic Companies”) and foreign


Disclosure of Payments by Resource Extraction Issuers
  • Morrison & Foerster LLP
  • USA
  • January 31 2017

Likely, this is only the beginning. Senator Inhofe and Representative Huizenga filed Congressional Review Act Resolution relating to the Securities


SEC approves NSCC and NYSE T2 rule proposals
  • Morrison & Foerster LLP
  • USA
  • January 31 2017

The Securities and Exchange Commission (SEC) recently approved the National Securities Clearing Corporation's (NSCC's) proposed rule change to accommodate a second business day after the trade date (T2) settlement cycle


Enforcement Focus on Advisers’ “Cherry-Picking” Continues
  • Morrison & Foerster LLP
  • USA
  • January 26 2017

The SEC banned the managing member and chief compliance officer of a registered investment adviser from the securities industry for illegal