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December 05, 2016 |

Investment Advisers: Beware the Broad Confidentiality Clause

Justin Sher, of Sher Tremonte, writes that investment advisers may rely on confidentiality agreements to protect against the disclosure of an investment thesis or algorithm or simply as a means of keeping investors' affairs private. Indeed, Regulation S-P requires registered investment advisers to take steps to "insure the security and confidentiality of customer records and information." However, in light of recent enforcement measures taken by the SEC, advisers should review their confidentiality agreements—including those with investor clients—to make sure these agreements do not violate SEC Rule 21F-17(a), which prohibits the use of confidentiality agreements to deter whistleblowers.
11 minute read
December 01, 2016 |

Big Deals

99 minute read
November 28, 2016 |

New Book Offers Advice on Scandal-Proofing Your Legal Department

Michael Winston, a psychologist and former Fortune 100 executive, has written a new book, "World-Class Performance," which he calls a "secret weapon" to prevent your company from becoming the next corporate scandal.
7 minute read
November 17, 2016 |

Jones Day Advises Koch in $2B Infor Stake

Jones Day is advising Koch Industries subsidiary Koch Equity Development on its purchase of a $2 billion stake in Infor, a maker of cloud-based business management software.
23 minute read
November 15, 2016 |

SEC's White: No SEC Fiduciary Rule Coming Before January

In her final House Financial Services panel testimony, White said that the agency is still 'significantly' underfunded.
8 minute read
Law Journal Press | Digital Book Limited Liability Companies and Limited Liability Partnerships Authors: Thomas A. Humphreys View this Book

View more book results for the query "Merrill Lynch Pierce Fenner and Smith Limited"

November 14, 2016 |

Trump Presidency Could Shift Regulatory Spotlight to State and AG

New York State Attorney General Eric Schneiderman and Department of Financial Services Superintendent Maria Vullo could step into any void in regulation created by a Trump presidency, similar to former AG Eliot Spitzer, current and former officials say.
16 minute read
November 14, 2016 |

Amid Trump Transition, DC Court to Consider Limits on Inauguration Protests

On Jan. 20, 2017, a newly sworn-in President Donald Trump will parade down Pennsylvania Avenue. A federal appeals court will hear a case next week that could determine how close Trump must get to his detractors during the inauguration festivities.
7 minute read
November 11, 2016 |

Amid Trump Transition, DC Court to Consider Limits on Inauguration Protests

The D.C. Circuit hears arguments Monday in a case challenging restrictions on where protesters can congregate along the inauguration route.
7 minute read
November 02, 2016 |

Big Deals

107 minute read
October 20, 2016 |

Jones Day Adds Partner to Financial Institutions Litigation and Regulation Practice in Miami

Sergio Alvarez-Mena, the former head legal counsel for the 11 U.S.-based private bank offices of Credit Suisse Securities, has joined the financial institutions litigation and regulation practice at Jones Day's Miami offices.
5 minute read

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