4,423 results found

As the Securities and Exchange Commission's whistleblower program continues to build momentum, there is no question that companies are facing increasing numbers of reports of possible misconduct, both through internal reporting mechanisms and through whistleblower complaints and tips filed directly with the SEC.

In the first installment of this Article published Jan. 13, we discussed, in Parts I and II, the broad antiretaliation provisions in SOX and in Dodd-Frank designed to protect employees from adverse employment actions taken in response to the employee's report of possible securities law violations within the organization and to the SEC.

Coming out of the 2008-2009 financial crisis, the investor was the clear customer, but in the last few years we have seen a shift to the entrepreneur as the customer. Investors are vying to get into "hot deals."

This article discusses information that entrepreneurs should follow and what they can safely dismiss.

Some interesting links we found across the web this week:

The early-stages are kind of choppy and complicated.

Recently, a group of prominent corporate executives, including Warren Buffett and Jamie Dimon, as well as investment managers and institutional investors, issued a set of "Commonsense Principles of Corporate Governance."

In the current economic climate, opportunities are expanding significantly for municipal underwriters and derivatives specialists as states and municipalities across the country clamor to pay for infrastructure and services, fill expanding budget gaps, and shore up unfunded or underfunded pension obligations.

In his second column featured in Entrepreneur’s "Ask the Expert" section—Partner Peter Buckland shares his insight with start-ups into how to approach equity option pools.

Corporate Crime analysis: What is the relevance of public interest to corruption offences? Alison Geary and Sahil Sinha of international law firm, WilmerHale discuss the implications of the decision in R v Chapman.

Sagar Teotia has been named as Acting Chief Accountant following Mr. Bricker's departure.

On Thursday, March 23, Jay Clayton, President Trump's nominee for Chair of the Securities and Exchange Commission, testified before the Senate Banking committee at his confirmation hearing.

Fund board directors may be wondering what to expect from the new leaders of the Securities and Exchange Commission.

Despite consternation from some quarters, Jay Clayton's experience representing Wall Street firms and other public companies is an asset not a liability for the Securities and Exchange Commission.

On August 26, 2024, the Securities and Exchange Commission (SEC) announced an order against a registered investment adviser, Sound Point Capital Management, LP, for its failure to "establish, maintain...

The in-depth interview covered a range of topics, including the SEC's likely regulatory outlook over the next four years, the future of Dodd-Frank Act policies

The U.S. Securities and Exchange Commission's recent anti-money laundering enforcement actions reflect a number of trends and developments...

The Securities and Exchange Commission recently adopted rules to permit securities crowdfunding under the JOBS Act of 2012.