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US Corporate Law News: US Supreme Court Narrows Whistleblower Definition Under Dodd-Frank Act
US Supreme Court Narrows Whistleblower Definition Under Dodd-Frank Act
United States
7 Mar 2018
Co-Ownership Of An Airplane Could Affect A Director's Independence; Trump's Executive Order Could Overhaul Dodd-Frank; And Hensarling Proposes Changes To The Financial CHOICE Act
The Delaware Supreme Court recently provided guidance on when a personal relationship would be significant enough to find that a director lacked independence in the context of demand futility.
United States
6 Mar 2017
Corporate Law Developments February 3, 2017
This week's corporate law news roundup includes discussions of the American Bar Association's release of its first complete revision to the Model Business Corporation Act since 1984;
15 Feb 2017
Consumer Protection: Are You Ready For The New Regime?
On 1 October 2015 the Consumer Rights Act 2015 (the 'CRA') comes into force, consolidating laws regulating consumer sales and introducing further changes to consumer rights that will impact traders and their customers alike.
1 Oct 2015
Deadline Approaching for Family Office Compliance
As you know, on June 22, 2011, the SEC adopted a rule that exempts family offices from being regulated as investment advisers, as long as they meet specific criteria.
United States
5 Feb 2012
SEC Issues Greatly Expanded Definition of Family Office
The US SEC adopted rule signficantly expanding the number of family offices exempt from registration and investment advisers.
United States
11 Jul 2011
Federal vs. State Regulation Of Investment Advisers
On June 22, 2011, the US Securities and Exchange Commission (the "SEC") issued Release IA-3221 (the "Release"), which adopts several rules implementing various provisions of the Dodd-Frank Act that amend the US Investment Advisers Act of 1940 (the "Advisers Act").
United States
10 Jul 2011
Private Fund Adviser Exemptions
The SEC adopted a rules that defines and implement the private fund adviser exemptions.
United States
6 Jul 2011
SEC May Extend Compliance Date
In a letter dated April 8, 2011, Robert Plaze, Associate Director of the Investment Management Division of the US Securities and Exchange Commission ("SEC"), indicated that the SEC expects to consider extending the date by which (1) "mid-sized" advisers must switch from SEC to state registration and (2) advisers currently relying upon the "private adviser" exemption must register under and comply with the Investment Advisers Act of 1940 ("Advisers Act").
20 Apr 2011
Will Private Equity Fund Managers Be Exempt?
The Small Business Capital Access and Job Preservation Act, is one of several controversial bills seeking to amend the Dodd-Frank Act.
United States
18 Apr 2011
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