Don’t write emails so provocative that they wind up reproduced on the front page of the Wall Street Journal. With many fund managers having to register under the Investment Advisers Act, they will now be subject to more extensive record-keeping requirements. That means more emails will be saved for a longer period of time. Those [...]
Tag Archives: Kevin LaCroix
Bits and Pieces on Compliance
Here are a few stories and items that caught my eye this week, but I have not had time to build-out to a full post: The FCPA Enforcement Report of the First Quarter of 2009 from The FCPA Blog We count seven Foreign Corrupt Practices Act enforcement actions since the start of the year, including [...]
The 2008 Year in Review from Securities Docket
This panel joined Securities Docket’s Bruce Carton to look back at the most important and interesting developments in 2008, and offer their predictions for 2009. Walter Olson (Point of Law; Overlawyered), Kevin LaCroix (The D&O Diary) Tom Gorman (SEC Actions) Francine McKenna (re: the Auditors) Kevin started off noting that the number of securities class [...]
Cornerstone Research 2008 Review of Securities Class Action Filings
Cornerstone Research released their
Does Your D&O Policy Cover Criminal Investigations?
Kevin M. LaCroix of The D&O Diary weighs in on coverage of criminal investigations: D&O Insurance: Corporate Criminal Investigations. He references a December 2008 article by Patricia Bronte of Jenner & Block entitled D&O Coverage for Corporate Criminal Investigations (.pdf). The main issue is how your policy defines “criminal conduct.” Some policies defines it with [...]
Securities Litigation and the FCPA
last week the Ninth Circuit handed down a decision in a securities litigation case related to FCPA violations in Glazer Capital Management LP v. Magistri. Glazer’s claims arose after InVision Technologies, Inc. (InVision) announced, in March 2004, that it had entered into a merger agreement with General Electric (GE). Several months later, in July 2004, [...]
Social Media
My social media policies database is available to you.
Affilate
This website uses the Canvas Wordpress theme from WooThemes. (affiliate link)
