Searching Content indexed under Directors and Officers by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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CFTC Clarifies Treatment Of FCM Separate Accounts
The Directors of the Division of Clearing and Risk and the Division of Swap Dealer and Intermediary Oversight (the "Directors") responded to inquiries regarding the treatment of separate accounts
United States
23 Sep 2019
FRB Highlights Risks In Certain Insurance Policy Indemnifications For D&Os
The Federal Reserve Board ("FRB") highlighted risks related to certain insurance policy indemnifications for the directors and officers ("D&Os")
United States
31 Jul 2019
FTC Reminds Market Participants Of Interlocking Prohibitions During Restructurings Or Acquisitions
The FTC reminded market participants to ensure that persons do not serve as officers or directors of competing companies during restructurings or acquisitions.
United States
11 Jul 2019
Fiduciary Duties Of Dissenting Directors And Their Boards – Stobart v Tinkler
At the same time, the court largely endorsed the freedom of the board to silence that director with respect to public statements.
United States
2 May 2019
SEC Adopts Final Rules For Disclosure Of Hedging Policies
The U.S. Securities and Exchange Commission (the "SEC") approved a final rule1 on December 18, 2018 implementing Section 955 of the Dodd-Frank Wall Street Reform ...
United States
4 Mar 2019
President Trump To Designate Joseph Otting As Acting Director Of FHFA
Mr. Otting will be Acting Director upon Mr. Watt's departure until a permanent Director is confirmed.
United States
10 Jan 2019
Cooperation Resulting In Waiver
Just days before a potentially landscape-altering hearing in a Miami federal courtroom at which lawyers were going to be forced to testify about the legal advice they had given their clients during the course of an internal investigation, the parties quietly backed into their own corners and the hearing was cancelled.
United States
7 Jan 2019
Corporations, Directors, And Officers: Potential Criminal And Civil Liability
This practice note provides an overview of the law and legal standards governing the imposition of criminal liability on officers, directors, and corporations for the acts of employees.
United States
30 Nov 2018
Delaware Court Of Chancery Finds Director Breaches Of Fiduciary Duty And Aiding And Abetting Liability For Activist Investor In Shareholder Class Action Suit
On October 16, 2018, Vice Chancellor J. Travis Laster of the Delaware Court of Chancery issued a post-trial opinion in In re PLX Technology Inc. Stockholder Litigation, a dispute arising from the August 2014 merger...
United States
22 Nov 2018
FINRA Board Of Governors Approves Amendments To TBA Rule; Other Actions
At its September Board meeting, FINRA approved significant revisions to margin requirements for Covered Agency TBA (to-be-announced) Transactions.
United States
11 Oct 2018
FINRA Recaps September Disciplinary Actions
FINRA summarized disciplinary actions against firms and individuals from August 20 to September 19, 2018.
United States
6 Oct 2018
SEC Division Of Enforcement Co-Director Discusses Benefits Of Non-Monetary Penalties
SEC Division of Enforcement (the "Division") Co-Director Steven Peikin recommended the Division consider the efficacy of both monetary and non-monetary penalties on a case-by-case basis, noting that non-monetary relief ...
United States
5 Oct 2018
SEC Charges Tesla Chief Executive For Making False Public Statements
The SEC filed a Complaint against Tesla Chief Executive Officer Elon Musk for making a series of allegedly false and misleading statements on Twitter about a potential transaction to take the company private.
United States
3 Oct 2018
SEC Names Associate Directors In Division Of Enforcement
The SEC named Anita B. Bandy and Carolyn M. Welshhans as Associate Directors in the SEC Division of Enforcement.
United States
12 Sep 2018
Senator Warren Introduces Bill To Require That Large Companies Create A General Public Benefit
Senator Elizabeth E. Warren (D-MA) introduced a bill intended to get rid of "skewed market incentives" and force corporations to be more accountable to employees and other stakeholders.
United States
30 Aug 2018
MSRB Adds Five New Board Members For FY 2019
Five new members were elected to serve on the MSRB's governing board for FY 2019.
United States
13 Aug 2018
Delaware Chancery Court Finds Absence Of Controlling Stockholder Does Not Eliminate Possibility For Adequately Pled Corporate Overpayment Claims
On July 26, 2018, Vice Chancellor Glasscock of the Delaware Court of Chancery denied in part and granted in part Defendants' motion to dismiss in Sciabacucchi v. Charter Communications Corporation...
United States
9 Aug 2018
SEC Charges Former Managing Director At Broker-Dealer In Pay-To-Play Scheme
The SEC charged a former managing director/fixed-income analyst (the "analyst") at a broker-dealer with aiding and abetting a pay-to-play scheme involving the New York State Common Retirement Fund (the "Fund").
United States
7 Aug 2018
FRB Governor Powell Discusses Reforms To Board Of Directors Expectations
In a recent speech at the Large Bank Directors Conference in Chicago, Illinois, Board of Governors of the FRB Governor Jerome H. Powell detailed how supervisory expectations for boards of directors...
United States
7 Sep 2017
UK Proposal For Register Of Foreign Beneficial Ownership Of Real Estate Continues Global Trend Toward Transparency
The proposal responds to recent pressure on the UK government to enhance the transparency of foreign property investment...
26 Apr 2017
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