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396 results found

Article

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").

Article

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.

Article

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.

Article

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.

Article

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.

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