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Power Of Attorney

A Power of Attorney is a notarised letter of authority given by a person or a company to another person or a company, which allows them to act for and on behalf of the original person in various government departments an ...

Client Bequests to Financial Advisors

Contact: Sara Soto, Rebecca E. Swenson; Bressler, Amery & Ross, P.C. (New Jersey, USA) We recently tried a case involving a $1 million client bequest to a financial advisor.  The case reminded us of the issues ...

ASIC guidance on annual financial reporting for public companies

Contact: Carter Newell Lawyers (Queensland, Australia) Section 299(1) of the Corporations Act 2001(Cth) requires the directors of listed public companies (and listed registered managed investment schemes) to includ ...

Federal Court Sides with SIPC in Dispute with SEC, Rejecting SEC’s Bid To Force SIPC To Cover Losses of Stanford Ponzi Scheme Victims

Contact: Herrick, Feinstein LLP (New York, New York, USA) In a closely watched case brought by the Securities and Exchange Commission (“SEC”) against the Securities Investor Protection Corporation (“SIPC”) ...

Reporting By Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

By: Irwin M. Latner, Patrick D. Sweeney, and  Irwin A. KishnerHerrick Feinstein LLP (New York, New York, USA)On October 31, 2011, the SEC and the CFTC jointly adopted rules implementing Dodd-Frank's1 systemic risk r ...

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