Searching Content indexed under Corporate/Commercial Law by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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OCIE Notifies Investment Advisers Of Principal And Agency Cross Trading Compliance Deficiencies
Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities...
United States
7 Oct 2019
SEC Eases Path For Exchange-Traded Fund (ETF) Launches
In an effort to modernize the regulation of ETFs, the U.S. Securities and Exchange Commission (the SEC) announced today its adoption of Rule 6c-11...
United States
4 Oct 2019
Avoiding Board Observer Liability Under Section 11 Of The Securities Act Of 1933
Lenders and other constituencies will under certain circumstances request and be granted "board observer" rights pursuant to a loan agreement or other contract.
United States
19 Sep 2019
Actualité juridique : juillet – août 2019
La loi n° 2018-727 du 10 juillet 2018 a prévu des ordonnances pour réformer le régime du taux effectif global, dont l'une pour les sanctions civiles.
United States
13 Sep 2019
Legal News - July-August 2019
Law No. 2018-727 of July 10, 2018 provided for ordinances to reform the system of the annual percentage rate, including one for civil penalties. These were indeed diverse in the event
United States
11 Sep 2019
SEC Filing Fee Rate Increase Effective Oct. 1, 2019
The new fee rate will take effect on Oct. 1, 2019, the first day of the U.S. government's 2020 fiscal year.
United States
9 Sep 2019
Equity Market Peak, Alternative Investors Look To Stay The Course
According to a Preqin report (reg. req.), 74% of investors in alternatives believe equity markets are at a peak, up from 61% at the end of 2018, and 6% believe markets are expanding
United States
9 Sep 2019
SEC Sues Investment Adviser For Nondisclosure Of Revenue Sharing Agreement Details
On Aug. 1, the Securities and Exchange Commission (the SEC) charged Commonwealth Equity Services LLC, dba Commonwealth Financial Network (Commonwealth).
United States
2 Sep 2019
OCIE Releases Risk Alert On Compliance Issues Related To Investment Advisers' Supervised Persons With Disciplinary History
On July 23, the SEC's Office of Compliance Inspections and Examinations (OCIE) released a risk alert.
United States
2 Sep 2019
SEC Division Of Corporate Finance Issues 9 Compliance And Disclosure Interpretations Regarding Inline XBRL Requirements
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
United States
29 Aug 2019
SEC Brings Enforcement Action Against TherapeuticsMD For Violations Of Regulation FD
The SEC's order found that in 2017, TherapeuticsMD had in two instances made selective disclosures of material nonpublic information to research analysts.
United States
27 Aug 2019
SEC Provides Clarification On Investment Advisers' Proxy Voting Responsibilities And The Applicability Of Proxy Rules To Voting Advice
On Aug. 21, 2019, the Securities and Exchange Commission (the SEC) voted 3–2 to publish new guidance on the proxy voting responsibilities of investment advisers under
United States
27 Aug 2019
The First PNF/AFA Common Guidelines
A welcome clarification regarding the expected behavior of companies and administrations under French criminal settlement procedures.
23 Aug 2019
Simplifying Section 16
On March 20, 2019, the Securities and Exchange Commission issued a release[1] (the Release) adopting amendments to Regulation S-K in an effort to modernize and simplify disclosure requirements
United States
21 Aug 2019
Les premières lignes directrices communes PNF/AFA
Une clarification bienvenue quant au comportement attendu des entreprises dans le cadre de la procédure de transaction pénale à la française
16 Aug 2019
SEC Proposes To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors Under Regulation S-K
As reported in a press release issued by the Securities and Exchange Comission (the SEC) on Aug. 8, 2019, the SEC voted to propose amendments to modernize Regulation S-K disclosures.
United States
13 Aug 2019
Delaware Court Of Chancery Upholds A Seller's Use Of Contractual Provisions To Maintain Attorney-Client Privilege Over Premerger Communications
In a recent decision, the Delaware Court of Chancery ruled that the seller in a merger could enforce a provision in the merger agreement protecting its privilege over premerger emails with its counsel.
United States
6 Aug 2019
Floor Area Transfer By Zoning Lot Merger
The ability to transfer floor area by zoning lot merger derives from two basic principles under the Zoning Resolution.
United States
29 Jul 2019
Delaware Supreme Court Allows Caremark Breach Of Loyalty Claim To Go Forward
On June 18, in Marchand v. Barnhill, the Delaware Supreme Court reversed a ruling by the Delaware Court of Chancery in a shareholder derivative suit alleging a breach of the duty of loyalty.
United States
29 Jul 2019
Succursales non européennes d'entreprises européennes - Instructions ESMA pour les autorités compétentes
Instructions ESMA pour les autorités compétentes" which was published by the French publication Revue de droit bancaire et financier on June 18, 2019.
24 Jul 2019
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