396 results found
Dentons | USA | 12 Nov 2010
SEC proposes definition of "family office" to exclude "family office" from the definition of "investment adviser"
Advisers Act Rule Proposal on a Fast Track As required under the Dodd-Frank Act, the Securities and Exchange Commission has proposed new Rule 202(a)(11)(G)-1 to define a "family office" under the Investment Advisers Act of 1940 (the "Advisers Act").
Vedder Price PC | USA | 29 Jul 2010
Service provider fee disclosure: another step towards fee transparency
Plan fiduciaries who are in the midst of implementing the new Form 5500 Schedule C requirements for service provider fees may not want to think about additional fee disclosures.
Sills Cummis & Gross PC | USA | 1 Feb 2010
United States and shareholders vs. corporate fraud
If there is one theme that has dominated the headlines of our newspapers and the dockets of our courthouses during the first decade of the 21st century, it has been the revelation of massive fraud and the criminal prosecution and civil litigation against those responsible for the losses sustained by so many investors.
Eversheds Sutherland (US) LLP | USA | 9 Feb 2009
State securities regulators propose an agenda for change, will not take the financial crisis lying down
In the face of a heightening financial crisis, a delegation of state securities regulators has outlined principles and a legislative agenda to rectify the problems leading to the current predicament and to help “Main Street Americans” safeguard their financial security.
Hogan Lovells | USA | 14 Oct 2008
Treasury Department using private sector financial institutions and other companies to manage Troubled Assets Relief Program
While initial contracts are focused on a relatively few large service providers, we expect significant expansion of the use of additional contractors and subcontractors.