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Schapiro: SEC to Focus on Risk
March 29, 2011
In her address before SIFMA's Compliance and Legal Society Annual Seminar on March 23, 2011, Chairman Mary L. Schapiro outlined a new focus for the agency's Office of Compliance, Inspections and Examinations (OCIE). According to Schpiro OCIE will focus its examinations in part on "engaging… read more
Gibson Dunn: SEC Targets Independent Directors Who Ignore Red Flags
March 17, 2011
The Gibson Dunn law firm has published a client alert highlighting some actions the SEC has initiated against independent directors of public companies whom the agency alleges have engaged personally in illegal or improper conduct, or have repeatedly ignored significant red flags. The memo looks at recent SEC… read more
February 1 NY Event: Litigation Facing Underwriters and Directors
January 24, 2011
On February 1, 2011 FTI Consulting in New York will hold the first installment of its free Breakfast Conference Series. This event will feature a discussion of litigation issues facing underwriters and directors stemming primarily from the effects of the economic downtown on corporate performance and… read more
Gibson Dunn on Systemically Significant Financial Companies
January 21, 2011
In a recent publication, lawyers at Gibson Dunn take a look at "Systemically Significant Financial Companies" under the Dodd-Frank Act. They posit that, under the terms provided in the legislation, it is possible that a wide variety of non-bank institutions may be swept into the… read more
K&L Gates Webinar: SEC’s Focus on Mutual Funds Fees
January 06, 2011
Recently, the SEC's Division of Investment Management announced that its new Asset Management Unit will focus on some areas affecting fund directors, including: Advisory and other Service Fees - The SEC is clearly looking closely at the 15(c) process. As noted in SEC Enforcement Chief Khuzami's… read more