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Searching Content indexed under Corporate and Company Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Options Clearing Corporation Proposes Rule Change To Enhance "Vanilla Option Model" And "Smoothing Algorithm"
The Options Clearing Corporation ("OCC") proposed a rule change to enhance the "Vanilla Option Model" and "Smoothing Algorithm."
United States
13 Aug 2019
2
SEC Commissioner Hester Peirce Champions "Marie Kondo" Approach to Regulation
SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.
United States
13 Aug 2019
3
SEC Sues Adviser For Breach Of Fiduciary Duty And Undisclosed Conflicts Of Interest
The SEC sued an investment adviser for breach of fiduciary duty and undisclosed conflicts of interest related to revenue sharing arrangements that affected transactions in mutual fund shares.
United States
8 Aug 2019
4
NASAA Advises Companies And Investors On Use Of Initial Loan Procurements
The North American Securities Administrators Association ("NASAA") advised companies utilizing blockchain technology on an "alternative"
United States
31 Jul 2019
5
Lawmakers Introduce Bill To Regulate Change In Control Transactions
Senators Elizabeth Warren, Tammy Baldwin and Sherrod Brown, and Representatives Mark Pocan and Pramila Jayapal introduced a bill to govern the private funds that engage in change in control transactions.
United States
29 Jul 2019
6
On Wealth: The Modern Evolution Of The Trust Company
During the past decade there has been a significant shift in the ownership and structure of the private trust business that serves high net worth individuals and families in the United States
United States
19 Jul 2019
7
Another Merger Challenge Demonstrates The Limits Of Corwin
According to the complaint, Virtu became interested in acquiring KCG after concluding, in late 2016, that KCG's stock price was depressed.
United States
15 Jul 2019
8
FTC Issues Reminder Regarding Interlocking Directorates
The FTC referred to its previous post on Section 8, which urged firms to monitor market developments to ensure changes in the market do not create unexpected interlocks, and then highlighted two common transaction scenarios where Section 8 issues may arise: mergers and spin-offs.
United States
12 Jul 2019
9
SDNY Holds That Compliance Communications Are Not Protected Work Product
In a case concerning violations of the Investment Advisors Act, the U.S. District Court for the Southern District of New York ("SDNY") held that compliance communications are not protected.
United States
1 Jul 2019
10
FTC Charges Two Japanese Corporations With Alleged HSR Avoidance Scheme
Two Japanese corporations each agreed to pay $2.5 million to settle Federal Trade Commission ("FTC") charges of violating the premerger
United States
24 Jun 2019
11
Corporate Governance Litigation & Regulation: A Periodic Review And Predictions For The Remainder Of 2019
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
United States
6 Jun 2019
12
SEC Chair Jay Clayton Questions Short-Term Views In Management Of Public Companies
SEC Chair Jay Clayton directed staff to consider the causes of "short-termism," including the current disclosure regime, and how to encourage U.S. companies to take a long-term perspective.
United States
5 Jun 2019
13
Federal Reserve Board Finalizes Transfer Of SAFE Act Authority To CFPB
The Federal Reserve Board ("FRB") finalized the process of transferring its rulemaking authority for the Secure and Fair Enforcement for Mortgage Licensing Act ...
United States
28 May 2019
14
SEC Names Inaugural Members Of Small Business Capital Formation Advisory Committee
The SEC named the inaugural members of the newly formed Small Business Capital Formation Advisory Committee.
United States
14 May 2019
15
FRB Proposes Revisions To "Control" Rules
The Federal Reserve Board ("FRB") proposed to modify its regulations for determining "whether a company has the ability to exercise a controlling influence" on another company under the Bank
United States
9 May 2019
16
SIFMA Urges SEC To Suspend Options Fee Proposal
In a comment letter, SIFMA called on the SEC to suspend a MIAX Emerald, LLC proposal to establish an Options Regulatory Fee.
United States
2 May 2019
17
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
19
Shareholder Engagement With UK Companies – Proposed Changes To The Stewardship Framework
Two UK regulatory bodies are currently consulting on rules relating institutional shareholders' engagement with and stewardship of their investee companies.
UK
20 Mar 2019
20
FTC Announces 2019 Thresholds For Merger Control Filings Under HSR Act And Interlocking Directorates Under The Clayton Act
The Federal Trade Commission ("FTC") has announced its annual revisions to the dollar jurisdictional thresholds in the Hart-Scott-Rodino Antitrust Improvements Act of 1976 ...
United States
27 Feb 2019
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