Carl Ayers
It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue
The SEC loses again in the High Court, get ready for say-on-pay reporting, court deference to federal agencies falls, and much more
Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...
FinCEN proposes to amend its AML rules. Among other things, should this proposal be finalized, it would require broker-dealers and other financial institutions to review ...
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The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right
This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...
Six cybersecurity lessons to heed, did a CCO get off easy in an enforcement case, a look at the state of the industry and much ...
The case helps to define that sometimes squiggly line around CCO liability, and conjures advice for how a CCO should act when her superior shows ...