Understanding export controls affecting technology transfers to foreign persons inside and outside of the United States is a business imperative in today's global economy. We will discuss the key issues that should be on every tech company's compliance radar.
Investment Management partners Richard F. Morris, Timothy W. Levin and asscoiate Sean Graber comment on the SEC's settlment of an enforcement action in relation to disclosure, reporting, recordkeeping and compliance violations stemming from the advisory contract approval and reporting process.
A second federal appellate court holds that President Obama's NLRB recess appointments were invalid and potentially calls into question every Board decision since March 2010.
Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."
