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264 results found

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Richards Kibbe & Orbe LLP is a dynamic and entrepreneurial firm with deep experience and relationships in the financial markets and the business…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 13 May 2019

The CFTC Debuts Its First Publicly Available Enforcement Manual - A Snapshot of Key Provisions and Issues

The Commodity Futures Trading Commission's ("CFTC") new Enforcement Manual ("Manual"), while codifying past practice and pronouncements, hints that…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 11 Apr 2019

S.D.N.Y. Decision Addresses Attorney-Client Privilege in the Context of Constituency Directors

On March 28, 2019, a federal court in the Southern District of New York issued a decision addressing the standard for determining whether…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 6 Mar 2019

Curbing Manufactured Failure to Pay - an Independent View

A Failure to Pay Credit Event allows a CDs buyer to be paid the protection payments when the Reference Entity fails to make a required payment on its…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 30 Jan 2019

Visa/Mastercard Class Action Inches Toward Settlement

Yield-seeking investors, spooked by the current volatility of the equity and credit markets, continue to seek non-market correlated investments. One…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 11 Jan 2019

Independent Directors - Lessons & Reminders from a Tumultuous Year

2018 was a challenging year for many independent corporate directors, in large part due to the array of corporate crises stemming from the behavior…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 4 Jan 2019

Update on Status of SEC Regulation Best Interest

On April 18, 2018, the SEC proposed a new “best interest” standard of conduct for broker-dealers and their associated persons when making…
Article

Richards Kibbe & Orbe LLP | USA | 20 Dec 2018

California Supreme Court Decision Raises New Questions About Advance Waivers of Conflicts

The California Supreme Court declined to enforce a law firm’s engagement agreement on the basis of the agreement’s blanket advance conflict waiver…
Article

Richards Kibbe & Orbe LLP | USA | 26 Sep 2018

Lenders Beware: Division in Delaware

Recent amendments to the Delaware Limited Liability Company Act (DLLCA) should prompt lenders to take a closer look at their credit agreements and…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 17 Sep 2018

SEC Enforcement Order Reminds Hedge Fund Managers to Stay Alert When Investment Posture Shifts from Passive to Active

A recent SEC enforcement order offers hedge fund managers a sharp reminder of the need to remain alert to legal issues that may arise when their…
Article Compliance

Richards Kibbe & Orbe LLP | USA | 28 Aug 2018

Second Circuit Rejects DOJ’s Expansive FCPA Jurisdictional Theory

On August 24, 2018, the U.S. Court of Appeals for the Second Circuit dealt a blow to the U.S. Department of Justice's ("DOJ") ongoing efforts to…
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