Your search for ‘Herbert Smith’ returned 8,805 results

The SEC's Division of Enforcement issued answers to frequently asked questions (FAQs) on its Share Class Selection Disclosure Initiative, providing additional information about adviser eligibility....

The SEC Office of Compliance Inspections and Examinations issued a risk alert regarding investment advisers and investment companies that outsource their Chief Compliance Officer (CCO) duties to unaffiliated third-parties.

The SEC's Division of Enforcement announced the Share Class Selection Disclosure Initiative, a self-reporting initiative designed ...

The SEC proposed a new rule and form amendments to modernize the regulations surrounding exchange-traded funds (ETFs).

The SEC proposed amendments to certain forms in order to improve the reporting and disclosure of liquidity information by registered open-end investment companies, including a new requirement...

The SEC proposed rule and form amendments that would require registrants to include internet hyperlinks to exhibits in their filings.

Both SEC commissioners voted to modernize regulations that require stock and bond trades to settle within three business days, shortening that timeframe to two business days.

Corporate associate Joel Pruett and corporate law clerk Nathan Wolfe authored an article in the State Bar of Texas 14th Annual Essentials of Business Law coursebook...

Corporate associates Joel Pruett and Nathan Wolfe authored an article in the State Bar of Texas 14th Annual Essentials of Business Law coursebook...

Litigation partners Alan R. Friedman and Steven S. Sparling, special counsel Arielle Warshall Katz, and associates Daniel M. Ketani and David Richards; and Environmental partner...

Corporate partner Ronald M. Feiman's article "Valuation Issues for Registered Investment Company Directors – Recent Developments and Surprises" appeared in the Summer 2016, Issue Two of Voltaire Advisors.

Paris partner Noëlle Lenoir co-authored an article titled "Corruption internationale

In response to the rapid growth of the ICO market and the accompanying rise of related scams and frauds, the SEC launched HoweyCoins.com, a mock ICO website touting "an all too good to be true investment opportunity."

The SEC brought insider trading charges against seven individuals who allegedly created millions of dollars in profits by trading on confidential information about impending mergers and acquisitions.

Ahead of the fiduciary rule's implementation in April, the Labor Department issued a 16-page document listing suggested questions for investors to ask their advisers regarding the rule's requirements.

Noëlle Lenoir wrote an article that appeared in the French legal publication JCPE#42 dated October 15, 2015. The article discusses the following topic: Whistle-blowers, a French innovation coming from over the Atlantic.

The U.S. Supreme Court will settle the issue of whether Dodd-Frank prohibits retaliation against internal whistleblowers who do not report their concerns about potential violations to the SEC.

Paris partner Hubert de Vauplane's article "Ten Years After the Crisis, Where Are We Going ? " appeared in the February 2018 issue of the French publication Revue Banque.