Advisory Agreements

"The SEC has now done its part by making clear that it will not stand in the way of such provisions. However, before companies can adopt ...

It seldom fails. If compliance vows to do something and the firm neglects to follow through, it’s a sure bet an SEC examiner will take ...

"Unfortunately, for public companies that consider mandatory arbitration to be a vital aspect of their dispute resolution strategy, SB 95 has effectively eliminated Delaware as ...

The Federal Trade Commission is rebooting stalled enforcement efforts against “abusive” noncompete agreements

Earlier this year, a committee urged the Commission to take up IA arbitration clauses. The new policy approved this month suggests it’ll be in no ...

"The key safeguard remains in place .... The Commission remains, as always vigilant as to frauds perpetrated upon investors and will use all available regulatory ...

"The markets will go under-policed"

"The Commission should not participate in a debate on whether mandatory arbitration provisions are 'good' or 'bad' for companies and their shareholders"

It’s getting harder and harder to keep a secret today. When it comes to an adviser attempting to protect its client information against poaching by ...

Consider this fair warning: The plaintiff’s bar is actively looking for private fund investors interested in suing their investment advisers—a trend that’s sizzling