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Results: 1-10 of 1,114

FinCEN proposes anti-money laundering rules for registered advisers
  • Morrison & Foerster LLP
  • USA
  • August 28 2015

The Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) on August 25, 2015 proposed rules to require SEC- registered


The SEC’s Registration Rules for security-based swap dealers
  • Morrison & Foerster LLP
  • USA
  • August 28 2015

Early this month the U.S. Securities and Exchange Commission ("SEC") released final rules (the "Registration Rules") for the registration of


FINRA sets effective dates for research report conflicts rules
  • Morrison & Foerster LLP
  • USA
  • August 28 2015

FINRA Rules addressing conflicts of interest relating to the publication of equity research reports become effective on September 25, 2015, or


Show us the money: FINRA initiates sweep relating to compensation practices
  • Morrison & Foerster LLP
  • USA
  • August 26 2015

FINRA has made no secret of its interest in broker compensation, and the potential conflicts of interest that can be generated by some types of


SEC adopts CEO pay ratio disclosure rules
  • Morrison & Foerster LLP
  • USA
  • August 19 2015

The SEC recently adopted rules implementing Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section


Proposed change to NYSE shareholder vote rule for “early stage companies”
  • Morrison & Foerster LLP
  • USA
  • August 17 2015

The Securities and Exchange Commission is requesting comments prior to August 31, 2015 regarding whether the Commission should approve or disapprove


Former SAP exec pleads guilty to FCPA violations
  • Morrison & Foerster LLP
  • USA
  • August 14 2015

On August 12, 2015, Vincente Garcia (former head of Latin American sales for SAP International, Inc.) pleaded guilty in federal court in San


Top ten international anti-corruption developments for July 2015
  • Morrison & Foerster LLP
  • USA
  • August 11 2015

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international


SEC proposes rules to direct exchanges to require compensation recovery policies
  • Morrison & Foerster LLP
  • USA
  • August 7 2015

Nearly five years after the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) was enacted in July 2010, the SEC approved proposed


Does loyalty count?
  • Morrison & Foerster LLP
  • USA
  • August 3 2015

In recent years, there has been increased focus on "short-termism" within public companiessome speculate that the rise of high frequency