We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Articles

Results 1 to 5 of 12
Most popular |Most recent


Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

USA - April 11 2018 What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No...

Alden J. Bianchi.

The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Regulations: The Principal Transactions Exemption

USA - June 13 2016 This post continues our examination of the Department of Labor’s suite of final fiduciary and conflict of interest regulations. Our prior posts...

Alden J. Bianchi.

SEC charges “Which EB-5 owners with securities law violations

USA - June 25 2015 On June 23, 2015, the Securities and Exchange Commission (SEC) issued a press release in connection with charging two firms that unlawfully brokered...

Douglas Hauer.

US sanctions as diplomacy tools and political weapons: complexities and opportunities for the business community

USA, Russia, Cuba, Iran - February 5 2015 In response to a number of foreign policy crises encountered over the past few years, the Obama Administration has sought a new...

A committee of fund manager personnel may not be able to provide the requisite consent on behalf of the fund for a principal transaction

USA - June 25 2014 Fund managers may wish from time to time to conduct, or for their principals or affiliates to conduct, securities transactions opposite the fund. The...