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Chairman Schapiro’s Address Before the Stanford Directors’ College
June 24, 2010
On June 20, 2010, SEC Chairman Mary L. Schapiro addressed the Sixteenth Annual Directors' College at Stanford Law School, an executive education program for directors and senior executives of publicly traded firms. Schapiro's remarks described three main areas where the SEC is focusing… read more
IM Chief Lays out Investor Protection Initiatives
April 28, 2010
Last week, in an address before a meeting of the Business Law Section of the American Bar Association Committee on Federal Regulation of Securities, Andrew J. Donohue, Director of the SEC's Division of Investment Management, described the investor protection focus of the agency's and his… read more
A Holistic Approach to Improving Board Effectiveness
April 26, 2010
Jeffrey Stein, a partner at King & Spaulding LLP, recently published a piece on the Harvard Law School Forum on Corporate Governance and Financial Regulation blog called, "Enhancing Board Performance Through Dynamic Board Development." The piece sets forth briefly some guidance for enhancing board effectiveness… read more
SEC Expresses Clear Support for International Accounting Standards
March 17, 2010
Last month, the SEC sent a strong signal of support for the move from separate bodies of accounting and financial disclosure standards from country to country, to a unified set of globally accepted standards. In a statement released last month, the Commission stated that it… read more
ABA Publishes 2009 IM Legal Review
January 26, 2010
The ABA's Investment Companies and Investment Advisers Subcommittee recently published a survey of significant legal developments in the investment management field. The "Investment Management Legal Review (Year-End Review 2009)" is a guide to significant rule-making proposals, regulatory guidance, SEC orders, enforcement proceedings, litigation and legislation… read more