» CII tells Speaker Ryan of CHOICE Act worries
22/05/17 12:00 from Jim Hamilton's World of Securities Regulation
By Mark S. Nelson, J.D. The Council of Institutional Investors and 53 public pension funds, investors, and advisers sent a letter to Speaker Paul Ryan (R-Wis) urging him to hear the CII’s concerns about shareholder and executive pay prov...

» Prize Promotions Around the World: New Handbook
19/05/17 18:51 from The Venture Alley
DLA Piper is pleased to announce the launch of Prize Promotions Around the World , an updated edition of our popular handbook. Prize Promotions Around the World is an online tool designed to assist companies across the globe in managing ...

» Comments received on proposed swap dealer and major swap participant capital rules reflect diverse views
19/05/17 14:30 from Jim Hamilton's World of Securities Regulation
By Brad Rosen, J.D. The comment period for a controversial CFTC rule proposal addressing capital requirements for swap dealers (SDs) and major swap participants (MSP’s) came to a close on May 15, 2017. The commission received over 30 com...

» Compliance Bricks and Mortar for May 19
19/05/17 13:00 from Compliance Building
These are some of the compliance-related stories that recently caught my attention. Cybersecurity: Ransomware Alert from SEC’s OCIE Starting on May 12, 2017, a widespread ransomware attack, known as WannaCry, WCry, or Wanna Decrypt...

» Facebook Defeats Lawsuit Over Material Support for Terrorists–Cohen v. Facebook
18/05/17 18:48 from Technology & Marketing Law Blog
We’ve seen a cluster of lawsuits against social media sites based on their alleged provision of material support to terrorists. The first substantive ruling–in Fields v. Twitter, now on appeal to the Ninth Circuit–was a...

» Staff grants no-action relief for Yahoo’s pricing formula in Dutch auction tender offer
18/05/17 15:26 from Jim Hamilton's World of Securities Regulation
By Jacquelyn Lumb The SEC’s Division of Corporation Finance has granted no-action relief requested by Yahoo! Inc. that will permit it to rely on a particular formula to determine the purchase price of its common shares and the number of ...

» The SEC Reaching Back Far In The Past With Its Powers of Disgorgement
18/05/17 14:19 from Compliance Building
We have become used to the Securities and Exchange Commission extracting disgorgement of ill-gotten gains from those violating the securities laws. However, the enabling laws do not explicitly grant the SEC the right to disgorgement. We ...

» Class certified in action over how funds were marketed
17/05/17 14:30 from Jim Hamilton's World of Securities Regulation
By Rodney F. Tonkovic, J.D. A class has been certified in a fraud action brought against an investment adviser that allegedly advertised back-tested, hypothetical results as actual performance. The court found that the proposed class sat...

» Revisiting the Discoverability of Facebook Account Activity–Gordon v. TGR
17/05/17 13:52 from Technology & Marketing Law Blog
The facts of this case are fairly typical. The plaintiff was hit by a truck. She sued the truck company and driver. In discovery, the defendants requested that she “download and produce an electronic copy of your Facebook account h...

» I’m Once Again Asking You For Your Hard-Earned Money
17/05/17 00:36 from Compliance Building
Compliance Building is a free resource I publish for me, and share with you, to help the compliance profession. Now I need some of your hard-earned money. I should point out that the money is not for me; It’s for charity. Help me fight c...

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