SEC Offers Relief to M&A Brokers
AbstractPurpose - To explain a No-Action letter recently issued by the U.S. Securities and Exchange Commission (SEC) permitting persons who qualify as "M&A Brokers" to facilitate the sale of...
View ArticleThe SECâs Municipal Advisor Rule Will Prompt New Practices for Market...
AbstractPurpose - To explain the new Municipal Advisor Rule that will take effect on July 1, 2014, which regulates persons and firms that provide advice to municipal issuers and obligated parties...
View ArticleSEC staff expands relief from broker-dealer registration under US Securities...
AbstractPurpose - To review the M&A Brokers "no-action" letter issued in February 2014 by the staff of the US Securities and Exchange Commission that clarifies the circumstances in which...
View ArticleA New SEC Enforcement Direction for 2014
AbstractPurpose - To summarize and comment on the Securities and Exchange Commissionâs (SECâs) two-day conference, "The SEC Speaks," held February 21-22, 2014, in which commissioners and senior...
View ArticleSECâs Examination Program Issues a Risk Alert on Investment Adviser Due...
AbstractPurpose - To summarize and interpret a Risk Alert titled "Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers," issued by the U.S....
View ArticleFortress Europe? UCITS V and the US Fund Manager
AbstractPurpose - To discuss the new UCITS V Directive, recently agreed upon by the European Parliament and Council, which will include safeguards to protect client assets in the event of a...
View ArticleBroker-Dealers Need to Respond to Recent Focus on Cybersecurity Threats
AbstractPurpose - To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach - Reviews four regulatory developments in the cybersecurity...
View ArticleShareholder Activism Spreads Globally
AbstractPurpose - To inform on recent developments in shareholder activism, a phenomenon well-documented in North America and Europe and now spreading to Latin America, and summarize the key...
View ArticleA new SEC enforcement direction for 2014
AbstractPurpose â To summarize and comment on the Securities and Exchange Commissionâs (SECâs) two-day conference, âThe SEC Speaks,â held February 21-22, 2014, in which commissioners and...
View ArticleSEC staff expands relief from broker-dealer registration under US Securities...
AbstractPurpose â To review the M&A Brokers âno-actionâ letter issued in February 2014 by the staff of the USA Securities and Exchange Commission that clarifies the circumstances in which...
View ArticleSEC offers relief to M&A brokers
AbstractPurpose â To explain a No-Action letter recently issued by the USA Securities and Exchange Commission (SEC) permitting persons who qualify as âM&A Brokersâ to facilitate the sale of...
View ArticleThe SECâs Municipal Advisor Rule will prompt new practices for market...
AbstractPurpose â To explain the new Municipal Advisor Rule that will take effect on July 1, 2014, which regulates persons and firms that provide advice to municipal issuers and obligated parties...
View ArticleBroker-dealers need to respond to recent focus on cybersecurity threats
AbstractPurpose â To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach â Reviews four regulatory developments in the...
View ArticleSECâs examination program issues a risk alert on investment adviser due...
AbstractPurpose â To summarize and interpret a Risk Alert titled âInvestment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers,â issued by the...
View ArticleFortress Europe? UCITS V and the US Fund Manager
AbstractPurpose â To discuss the new UCITS V Directive, recently agreed upon by the European Parliament and Council, which will include safeguards to protect client assets in the event of a...
View ArticleShareholder activism spreads globally
AbstractPurpose â To inform on recent developments in shareholder activism, a phenomenon well-documented in North America and Europe and now spreading to Latin America, and summarize the key...
View ArticleHow sell side advisors can reduce litigation risk in light of...
AbstractPurpose â To explain the implications of a March 2014 Delaware Court of Chancery decision that found RBC Capital Markets liable for damages for aiding and abetting breaches of fiduciary duty...
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