Big news out of Europe today (besides fears of a Greek exit from the Euro returning like a slasher flick monster that just won’t die): Michel Barnier, the EU’s top
JOBS Act
More Crowdfunding Analysis from Fox
By Fox Rothschild LLP on
Fox Rothschild just issued another Corporate Alert on Crowdfunding. The first was written by Michael Harrington, and I helped him with our latest. These are just a few…
SEC WARNING ON UNAUTHORIZED TRADING
By Fox Rothschild on
The SEC issued an alert intending that firms detect and prevent unauthorized trading in brokerage and advisory accounts.
This release related to certain risks the SEC’s Office of Compliance Inspections…
SEC AND CFTC LAUNCH AN ANTI MONEY LAUNDERING GROUP
By Fox Rothschild on
The SEC and CFTC launched a working group to discuss and identify money laundering vulnerabilities.
These issues have lingered for awhile. Both agencies believe that there is an opportunity to…
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No More Felons and Other Bad Guys in Regulation D Offerings
By Fox Rothschild on
Recently, the SEC announced that it would take steps to bar felons and bad actors from any Regulation D offering.
This rule was mandated by the Dodd-Frank Act, and the…
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SEC COOPERATION. . . IT SEEMS TO PAY
By Fox Rothschild on
In late February, a judge from the United States District Court for the Southern District of New York approved a settlement where a former executive and analyst cooperated with the…
Condo Rental Programs Are Not Investment Contracts
By Fox Rothschild on
In an intriguing case out of the United States District Court for the Western District of Missouri, a plaintiff’s purchase of condominium units with an option to participate in the…
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Book Review– Defending Class Actions in Canada
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We recently let everyone know about a great resource from our colleagues in Canada. Jill Yates’ work, Defending Class Actions in Canada, is the key resource for clients facing a…
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Aiding and Abetting Claims Brought by the SEC
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The SEC has indicated that it will continue to review potential aiding and abetting claims in light of the Janus Capital Group Inc. v. First Derivative Trader’s decision.
That decision…
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Ernest Badway to Speak at Internal Corporate Investigations and Forum for In-House Counsel National Institute
By Fox Rothschild on
Ernie will be moderating a panel on investigating and responding to data breaches. The discussion will include the required specialized skills and active coordination with a company’s IT personnel and external IT…