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1,315 results found

Article

Schulte Roth & Zabel LLP | USA | 12 Sep 2019

Ninth Circuit Limits Substantive Consolidation

“A party moving for substantive consolidation must provide notice of the motion to the creditors of a putative consolidated non-debtor,” held the U

Article

Schulte Roth & Zabel LLP | USA | 9 Sep 2019

Delaware Court Upholds Record Holder Requirement in Advance Notice Bylaw Provisions

On Aug. 14, 2019, the Delaware Court of Chancery ruled to uphold the strict application of Barnes & Noble Education Inc.’s (“BNED”) advance notice

Article

Schulte Roth & Zabel LLP | USA | 6 Sep 2019

CSBS’ Challenge to OCC’s Fintech Charter Is Dismissed

On Sept. 3, 2019, the U.S. District Court for the District of Columbia, for the second time, dismissed a lawsuit brought by the Conference of State

Article

Schulte Roth & Zabel LLP | USA | 6 Sep 2019

CFPB Issues First Enforcement Action Based on Violations of the Remittance Transfer Rule

On Aug. 27, 2019, the Consumer Financial Protection Bureau (“CFPB” or “Bureau”) announced that it issued its first enforcement action based on

Article

Schulte Roth & Zabel LLP | USA | 6 Sep 2019

Fifth Circuit Subordinates Claim for Deemed Dividends

“ Payments owed to a shareholder by a bankrupt debtor, which are not quite dividends but which certainly look a lot like dividends, should be

Article

Schulte Roth & Zabel LLP | USA | 28 Aug 2019

SEC Releases Final Interpretation of the Standard of Conduct for Investment Advisers

The U.S. Securities and Exchange Commission has, for some time, been reviewing the standard of conduct required of investment advisers and

Article

Schulte Roth & Zabel LLP | USA | 28 Aug 2019

New Fund-of-Funds Rule for Registered Funds Under SEC Consideration

The SEC is currently considering a rulemaking proposal (“Proposed Fund-of-Funds Rule”), first proposed in December 2018, designed to streamline and

Article

Schulte Roth & Zabel LLP | USA | 28 Aug 2019

OCIE Focusing on Safeguarding of Customer Information and Books and Records Retention

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has recently issued risk alerts relating to the safeguarding of customer

Article

Schulte Roth & Zabel LLP | USA | 28 Aug 2019

National Futures Association Adopts Interpretive Notices Regarding Internal Controls and Cybersecurity

Effective April 1, 2019, the National Futures Association (“NFA”) recently adopted two interpretive notices that, respectively, impose additional

Article

Schulte Roth & Zabel LLP | USA | 22 Aug 2019

FDIC and OCC Approve Volcker 2.0 Summary of Amendments to Fund Activity Provisions

On Aug. 20, 2019, the Federal Deposit Insurance Corporation ("FDIC") and the Office of the Comptroller of the Currency ("OCC") approved a final rule

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