Searching Content indexed under Corporate and Company Law by Carlton Fields ordered by Published Date Descending.
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New York Federal Court Confirms Arbitration Award
The background and full procedural history of this case can be found here. In sum, the dispute stems from a 2011 agreement by KT Corporation and KTSAT Corporation, a Korean satellite communications provider, ...
United States
22 Aug 2018
Key Issues And Best Practices For Corporate Internal Investigations
Corporations today face a strict regulatory environment and close scrutiny surrounding corporate activity. Public and private companies face the potential of not only governmental investigations ...
United States
28 Mar 2018
US Supreme Court Ruling Tightens The Reins On Dodd-Frank Whistleblower Retaliation Claims
The U.S. Supreme Court dealt a blow to prospective whistleblowers in Digital Realty Trust Inc. v. Somers (February 21, 2018), making it more difficult to bring a retaliation claim under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
26 Feb 2018
Business Continuity And Disaster Recovery Checklist
Threats to your business operations come in many forms, including natural disasters that risk life and property such as the historic flooding from Hurricane Harvey in Texas, the risks from Hurricane Irma...
United States
8 Sep 2017
Class Action And Regulatory Settlements Reflect The Rising Cost Of Data Breaches
As the number of data breaches continues to increase, so too do the costs. After a breach occurs, companies typically expend significant sums conducting investigations, notifying customers and regulators...
United States
25 Jul 2017
Mutual Fund Advisers Win Again On Section 36(b) Claims
Following a four-day bench trial, New Jersey District Judge Renee Bumb granted judgment to defendant Hartford mutual fund advisers on "excessive fee" claims brought by fund shareholders...
United States
10 Jul 2017
More Fund Companies Sanctioned For Misusing Fund Assets For Distribution
Also of interest is that William Blair misspent $1.25 million of fund assets and was fined $4.5 million, while Calvert misspent nearly $18 million but was fined only $1 million.
United States
7 Jul 2017
Supreme Court To Resolve Whether Failure To Disclose Under Item 303 Of SEC Regulation S-K Gives Rise To Securities Fraud Claims
On March 27, 2017, the Supreme Court granted certiorari in the case of Leidos Inc., f/k/a SAIC Inc. v. Indiana Public Retirement System, a securities fraud class action.
United States
13 Apr 2017
China Tightens Regulations On Investing Insurance Funds In Shares of Listed Companies
The entire Chinese economy, including its insurance industry, has experienced rapid growth in recent years.
23 Mar 2017
Scratching The Surface: The FTC's Phishing Tips For Victim Companies Are A Good First Step But Companies Should Not Stop There
In one type of phishing, fraudsters impersonate your business when contacting consumers.
United States
22 Mar 2017
Five Steps To Heading Off A Potential Lawsuit
Everyone has heard the saying that "an ounce of prevention is worth a pound of cure." For insurers, marketing organizations and agencies, that "ounce of prevention" includes establishing compliance procedures...
United States
14 Nov 2016
FINRA To Overhaul Gifts, Non-Cash Compensation, And Business Entertainment Rules
FINRA proposes to increase the gift limit in Rule 3220 from $100 to $175 per person per year and include a de minimis $50 threshold below which firms need not keep records of gifts given or received.
United States
7 Nov 2016
SEC Exhibit Hyperlink Proposal Excludes Investment Companies
The SEC has proposed that filings on Securities Act registration form types beginning with "S-" and "F-", or on the basic Securities Exchange Act reporting forms, provide hyperlinks to exhibits.
United States
3 Nov 2016
Post-Daimler: Are Non-U.S. Companies Safe From Suit In U.S. Courts? What If The Non-U.S. Parent Registers To Do Business In A State?
For decades, U.S. courts have been preferred venues for plaintiffs' lawyers seeking to sue non-U.S. companies.
United States
17 Aug 2016
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