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2,741 results found

Article

Goldberg Segalla LLP | USA | 10 Apr 2019

Court Rejects Televisa’s Motion to Dismiss FIFA Bribery Class Action

On Monday, March 25, a New York judge ruled that Mexico’s Televisa Group will not be let off the hook for allegations of participation in a FIFA…
Article

Mayer Brown | USA | 28 Mar 2019

Mitigating the Impact of a Material Weakness on the Election of Directors

Where companies have disclosed repeated or ongoing material weaknesses in internal controls over financial reporting, or where a company’s first…
Article

McMillan LLP | Canada | 19 Mar 2019

OSC Levies Fines With Respect to Improper Performance Fees

On February 19, 2019, the Ontario Securities Commission ("OSC") issued an Order approving the settlement agreement reached between OSC staff…
Article

Weil Gotshal & Manges LLP | European Union, United Kingdom, USA | 5 Mar 2019

Board Priorities for 2019: Looking Inward and Outward to Meet Stakeholder Expectations

Each year, the proxy season puts a spotlight on how well public company boards of directors are meeting investor and regulatory expectations…
Article

Weil Gotshal & Manges LLP | USA | 4 Mar 2019

Board Priorities for 2019: Looking Inward and Outward to Meet Stakeholder Expectations

Each year, the proxy season puts a spotlight on how well public company boards of directors are meeting investor and regulatory expectations. For 2019…
Article

Paul Hastings LLP | USA | 27 Feb 2019

Securities Year in Review

In 2018, the Securities and Exchange Commission’s enforcement program, according to the two…
Article

Dechert LLP | USA | 20 Feb 2019

CFTC-Registered CPOs Need to Take Additional Action by April 1 as NFA Adopts CPO Internal Controls System Requirements

The National Futures Association (NFA) announced on January 31, 2019 that it had adopted an Interpretive Notice requiring each registered commodity…
Article

Fried Frank Harris Shriver & Jacobson LLP | Canada, USA | 6 Feb 2019

SEC Imposes Civil Penalties for Ongoing Violations Relating to Internal Control Over Financial Reporting

On January 29, 2019, the Securities and Exchange Commission (Commission) announced cease-anddesist orders and monetary penalties ranging from $35,000…
Article

Sheppard Mullin Richter & Hampton LLP | USA | 5 Feb 2019

SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting

Public reporting companies that have material weaknesses in their internal control over financial reporting (“ICFR”) are required under Rule 308 of…
Article

Ropes & Gray LLP | USA | 9 Jan 2019

The New Year Rings in New Requirements for NFA Member Asset Managers

In the final weeks of 2018, the National Futures Association ("NFA") issued new requirements applicable to asset managers who are members of the NFA…
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