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Member Articles


Securities And Exchange Commission Sanctions Three Investment Advisory Firms For Repeatedly Ignoring Problems With Their Compliance Programs

Contact: Mark D. Knoll & Daniel G. Nelson; Bressler, Amery & Ross, P.C. (New Jersey, USA) On October 23, 2013, the SEC announced that three investment advisory firms had agreed to settlements for repeatedly ignoring s ...

AIFMD Update

Contact: David Williams; LK Shields Solicitors (Ireland) Central Bank issues deadline for submission of applications for authorisation as AIFM. The Central Bank of Ireland has advised that 21 February 2014 has been s ...

Top Tips: Dual-Use Devices in the Workplace

  Contact: Denise Portnoy; Spencer Fane Britt & Browne LLP (Missouri, USA) Increasingly, companies are permitting employees to access corporate e-mail, calendars, contacts and other information using personal ...

Agencies Issue Disappointing Statement on Qualified Mortgage Fair Lending Risks

  Contact: Stephanie Kalahurka; Spencer Fane Britt & Browne LLP (Missouri, USA) Earlier this year, I authored a client alert examining the potential implications of the CFPB’s new mortgage rules in light o ...

SPCC Violations by Food Company Result in $475,000 Penalty and Injunctive Relief

  Contact: Andrew Brought; Spencer Fane Britt & Browne LLP (Missouri, USA) ConAgra Foods, Inc. and ConAgra Grocery Products, LLC, have agreed to settle alleged violations of the Clean Water ...

IRS Loosens Health FSA Carryover Rules

  Contact: Ken Mason; Spencer Fane Britt & Browne LLP (Missouri, USA) Recent IRS guidance creates a new exception to the "use-it-or-lose-it rule" that has long discouraged employees from contributing to ...

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