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522 results found

Article

Baker & Hostetler LLP | USA | 23 May 2017

100 Days In: What Hedge Funds can expect from Congress, the SEC and the Trump administration

On April 19, 2017, the Hedge Fund Industry Practice team hosted an event at the New York Yacht Club titled "100 Days In: What Hedge Funds Can Expect

Article

Osler Hoskin & Harcourt LLP | USA, Canada | 10 Feb 2017

Former General Counsel of Bio-Rad is Awarded $8 million for Employer Retaliation Claim Following Whistleblower Report

While massive awards paid out by regulators to whistleblowers continue to dominate headlines, a U.S. jury recently awarded a significant damages

Article

Baker & Hostetler LLP | USA | 31 Jan 2017

2016 Year-End Securities Litigation and Enforcement Highlights

Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose of this

Article

Osler Hoskin & Harcourt LLP | USA | 19 Oct 2016

Penalties Assessed for Untimely Disclosure of Liabilities Arising From an Investigation

On September 9, 2016, the United States Securities and Exchange Commission (“SEC”) charged RPM International Inc. (“RPM”) and its General Counsel

Article

Duane Morris LLP | USA | 15 Sep 2016

SEC Files Civil Claims Against General Counsel for Mishandling Internal Investigation and Securities Disclosures

On September 9, 2016, the U.S. Securities and Exchange Commission ("SEC") charged Ohio-based chemical company RPM International Inc. ("RPM") and its

Article

Baker & Hostetler LLP | USA, Ireland | 29 Jul 2016

2016 Mid-Year Securities Litigation and Enforcement Highlights

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide

Article

Osler Hoskin & Harcourt LLP | Canada | 26 Jul 2016

Initial Board of Directors and New Implementation Timelines Announced for Canada’s Securities Regulatory Regime

In an important step towards implementing Canada’s Cooperative Capital Markets Regime, the participating jurisdictions have made the long awaited

Article

Kelley Drye & Warren LLP | USA | 6 Feb 2012

Doing the "right thing" finally pays off for general counsel of broker-dealer: SEC dismisses "failure to supervise" enforcement proceeding

As recently as 2009, few in the securities industry would have suspected that a senior legal or compliance officer’s reporting of potential misconduct by a broker to senior business managers and recommendation to fire the broker would result in an enforcement action against the legal or compliance officer.

Article

Morgan Lewis | USA | 20 Dec 2011

HSR Act guidance for CEOs, board directors, and general counsel

Unlike so-called “merger control” laws in most countries, the U.S. HSR Act applies to individual executive officers and directors acquiring shares of the employing corporation as part of their compensation if certain jurisdictional thresholds are satisfied.

Article

Winston & Strawn LLP | USA, Taiwan | 31 Oct 2011

CFTC allows Taiwan Futures Exchange's futures contract

On October 25th, the CFTC's Office of General Counsel announced that it issued a no-action letter on October 24, 2011, permitting the offer and sale in the United States of the Taiwan Futures Exchange's futures contract based on the GTEX.

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