More Securities & Exchange Commission (SEC) Articles

Finance

Interview With Bridget Marsh, Deputy General Counsel Of The LSTA, On Meridian Sunrise Village

Griffiths: Before we get into details, can you tell us a little bit about the LSTA and your role at the LSTA? Marsh: The LSTA is the trade association for the corporate loan market. Since its formation in 1995, the LSTA has been dedicated to improving liquidity and transparency in the loan...

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Labor & Employment

Fifth Third Bancorp v. Dudenhoeffer: Supreme Court Rejects "Presumption of Prudence" For Stock Drop Cases

On June 25, the United States Supreme Court issued its decision in Fifth Third Bancorp v. Dudenhoeffer, a decision that had been highly anticipated by the ERISA bar. The question before the Court was whether the so-called Moench presumption of prudence applied to a motion to dismiss. Rather than...

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Investigations

Corporate Internal Investigations Alert: SEC Gives $300,000 Whistleblower Award To Employee Responsible For Compliance And Audit Functions

On August 29, 2014, the Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $300,000 for a company employee who performed audit and compliance functions.[1] The award, twenty percent of the amount the SEC collected in an enforcement action,...

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