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No more secret identities
Broker-dealers may soon be required to identify beneficial owners of legal entity customers
Compliance with the Bank Secrecy Act is no easy task. And if a recent notice of new proposed rule by the U.S. Treasury’s Financial Crimes Enforcement Network (aka FinCEN) becomes law, it’s not about to get any easier. Read more >>
Speedy CLE
10 nuggets on corporate governance hot topics
Here are practical tips to help corporate counsel do their jobs better. For example, “Draft your compensation disclosures defensively” is No. 4. That is, anticipate the substantive criticism of your compensation program or of a director’s independence. Read more >>
Post-Alibaba-IPO issues
Video interview: Discussing the Alibaba IPO with LXBN TV
Gunster tech attorney Bob White recently had the opportunity to discuss the Chinese retailer’s record-breaking IPO – and a few takeaways for American companies. Read more >>
Wrong turn?
Is the SEC looking to further expand its regulatory jurisdiction through the disclosure process?
The SEC may again be considering the use of disclosure rules to indirectly regulate matters that are not federal securities law matters. Read more >>
Bob’s Upticks
Is the auditing profession getting into the business of second-guessing disclosures on related party transactions and executive compensation? Read more >>
Dodd-Frank was enacted in 2010. To date, none of the four rules – aka Four Horsemen of the Apocalypse (by issuers) and Gang of Four (by SEC staff) – has been adopted. And three of them have yet to be proposed. Read more >>
When Bob was chairman of the Securities Law Committee for the Society of Corporate Secretaries and Governance Professionals, we all looked forward to receiving Bob’s weekly updates. Read more >>
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This publication is for general information only. It is not legal advice, and legal counsel should be contacted before any action is taken that might be influenced by this publication. Gunster, Florida’s law firm for business, provides full-service legal counsel to leading organizations and individuals from its 11 offices statewide. Established in 1925, the firm has expanded, diversified and evolved, but always with a singular focus: Florida and its clients’ stake in it. A magnet for business-savvy attorneys who embrace collaboration for the greatest advantage of clients, Gunster’s growth has not been at the expense of personalized service but because of it. The firm serves clients from its offices in Fort Lauderdale, Jacksonville, Miami, Orlando, Palm Beach, Stuart, Tallahassee, Tampa, The Florida Keys, Vero Beach and its headquarters in West Palm Beach. With more than 160 attorneys and 200 committed support staff, Gunster is ranked among the National Law Journal’s list of the 350 largest law firms. More information about its practice areas, offices and insider’s view newsletters is available at www.gunster.com. |
