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Articles 1111 - 1140 of 1451

Full-Text Articles in Banking and Finance Law

The Seventh Annual A.A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law: The U.K Fsa: Nobody Does It Better?, William Michael Treanor, Ben A. Indek, Jill E. Fisch Jan 2007

The Seventh Annual A.A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law: The U.K Fsa: Nobody Does It Better?, William Michael Treanor, Ben A. Indek, Jill E. Fisch

Fordham Journal of Corporate & Financial Law

No abstract provided.


A Little Less Conversation, A Little More Action: Evaluating And Forecasting The Trend Of More Frequent And Severe Prosecutions Under The Foreign Corrupt Practices Act, Justin F. Marceau Jan 2007

A Little Less Conversation, A Little More Action: Evaluating And Forecasting The Trend Of More Frequent And Severe Prosecutions Under The Foreign Corrupt Practices Act, Justin F. Marceau

Fordham Journal of Corporate & Financial Law

No abstract provided.


The Irs’S Cost-Sharing Proposals In The Worldwide Tax System: Why Congress Should Avoid Anti-Competitive Transfer Pricing Regulations And Embrace A Territorial Tax, James D. Mandolfo Jan 2007

The Irs’S Cost-Sharing Proposals In The Worldwide Tax System: Why Congress Should Avoid Anti-Competitive Transfer Pricing Regulations And Embrace A Territorial Tax, James D. Mandolfo

Fordham Journal of Corporate & Financial Law

No abstract provided.


The Role Of Financial Journalists In Corporate Governance, Michael J. Borden Jan 2007

The Role Of Financial Journalists In Corporate Governance, Michael J. Borden

Fordham Journal of Corporate & Financial Law

No abstract provided.


Director Compliance With Elusive Fiduciary Duties In A Climate Of Corporate Governance Reform, Nadelle Grossman Jan 2007

Director Compliance With Elusive Fiduciary Duties In A Climate Of Corporate Governance Reform, Nadelle Grossman

Fordham Journal of Corporate & Financial Law

No abstract provided.


Confidential Informants In Private Litigation: Balancing Interests In Anonymity And Disclosure, Ethan D. Wohl Jan 2007

Confidential Informants In Private Litigation: Balancing Interests In Anonymity And Disclosure, Ethan D. Wohl

Fordham Journal of Corporate & Financial Law

No abstract provided.


Compensation Practices For Retail Sale Of Mutual Funds: The Need For Transparency And Disclosure, John Howat, Linda Reid Jan 2007

Compensation Practices For Retail Sale Of Mutual Funds: The Need For Transparency And Disclosure, John Howat, Linda Reid

Fordham Journal of Corporate & Financial Law

No abstract provided.


Airline Liability For Loss, Damage, Or Delay Of Passenger Baggage, M. R. Franks Jan 2007

Airline Liability For Loss, Damage, Or Delay Of Passenger Baggage, M. R. Franks

Fordham Journal of Corporate & Financial Law

No abstract provided.


Sec Settlement: Agency Self-Interest Or Public Interest, Danné L. Johnson Jan 2007

Sec Settlement: Agency Self-Interest Or Public Interest, Danné L. Johnson

Fordham Journal of Corporate & Financial Law

No abstract provided.


Ethics: Inherent In Islamic Finance Through Shari'a Law; Resisted In American Business Despite Sarbanes-Oxley, Christine Walsh Jan 2007

Ethics: Inherent In Islamic Finance Through Shari'a Law; Resisted In American Business Despite Sarbanes-Oxley, Christine Walsh

Fordham Journal of Corporate & Financial Law

No abstract provided.


Protecting The New Face Of Entrepreneurship: Online Appropriate Dispute Resolution And International Consumer-To-Consumer Online Transactions, Ivonnely Colón-Fung Jan 2007

Protecting The New Face Of Entrepreneurship: Online Appropriate Dispute Resolution And International Consumer-To-Consumer Online Transactions, Ivonnely Colón-Fung

Fordham Journal of Corporate & Financial Law

No abstract provided.


Incomes, Taxes And The Constitution: Why The D.C. Circuit Court Of Appeals Got It Right In Murphy, Russell F. Romond Jan 2007

Incomes, Taxes And The Constitution: Why The D.C. Circuit Court Of Appeals Got It Right In Murphy, Russell F. Romond

Fordham Journal of Corporate & Financial Law

No abstract provided.


U.C.C. Article 2 Warranties And Internet-Based Transactions: Do The Article 2 Warranties Sufficiently Protect Internet-Based Transactions With Unprofessional Internet Merchants?, Daniel K. Wiig Jan 2007

U.C.C. Article 2 Warranties And Internet-Based Transactions: Do The Article 2 Warranties Sufficiently Protect Internet-Based Transactions With Unprofessional Internet Merchants?, Daniel K. Wiig

Fordham Journal of Corporate & Financial Law

No abstract provided.


Sec Enforcement And Examinations Concerning Hedge Funds, Barry W. Rashkover, Laurin Blumenthal Kleiman Jan 2007

Sec Enforcement And Examinations Concerning Hedge Funds, Barry W. Rashkover, Laurin Blumenthal Kleiman

NYLS Law Review

No abstract provided.


A Social Defense Of Sarbanes-Oxley, James A. Fanto Jan 2007

A Social Defense Of Sarbanes-Oxley, James A. Fanto

Faculty Scholarship

No abstract provided.


Foreward, Faith Stevelman Jan 2007

Foreward, Faith Stevelman

NYLS Law Review

No abstract provided.


Sarbanes-Oxley: The Delaware Perspective, Chief Justice Myron T. Steele Jan 2007

Sarbanes-Oxley: The Delaware Perspective, Chief Justice Myron T. Steele

NYLS Law Review

No abstract provided.


A Social Defense Of Sarbanes-Oxley, James Fanto Jan 2007

A Social Defense Of Sarbanes-Oxley, James Fanto

NYLS Law Review

No abstract provided.


From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant Jan 2007

From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant

NYLS Law Review

No abstract provided.


Internal Whistleblowing And Sarbanes-Oxley Section 806: Balancing The Interests Of Employee And Employer, Kevin Rubinstein Jan 2007

Internal Whistleblowing And Sarbanes-Oxley Section 806: Balancing The Interests Of Employee And Employer, Kevin Rubinstein

NYLS Law Review

No abstract provided.


Goldstein V. Sec, Elizabeth A. Veit Jan 2007

Goldstein V. Sec, Elizabeth A. Veit

NYLS Law Review

No abstract provided.


Going Private At The Intersection Of The Market And The Law, Faith Stevelman Jan 2007

Going Private At The Intersection Of The Market And The Law, Faith Stevelman

Articles & Chapters

Delaware's fiduciary doctrine governing going private transactions by controlling stockholders is presently in disarray. Controllers generally select between single step cash-out mergers and tender offers followed by short-form mergers to do these freezeouts, and they are subject to very different equitable standards depending on the format selected. Further disarray arises because the courts' longstanding commitment to strict scrutiny in freezeouts is in tension with the popular disfavor towards private class-action litigation. This disarray threatens minority investors' interests in freezeouts, and capital market values more broadly. First, the disparities in freezeout doctrine have encouraged controllers to arbitrage the legal standards for …


Securities Underwriters In Public Capital Markets: The Existence, Parameters And Consequences Of The Fiduciary Obligation To Avoid Conflicts, Andrew F. Tuch Jan 2007

Securities Underwriters In Public Capital Markets: The Existence, Parameters And Consequences Of The Fiduciary Obligation To Avoid Conflicts, Andrew F. Tuch

Scholarship@WashULaw

This article considers whether an investment bank, when acting as underwriter of a public securities offering, owes the issuing company the fiduciary obligation to avoid conflicts of interest. The question has not arisen for final judicial determination and has been overlooked by scholars and regulators. The highly lucrative and visible nature of underwriting work creates powerful incentives for investment banks to accept instructions in the face of this duty. At the same time, the web of loyalties that these institutions owe, by virtue of their broad and diverse range of products and services, creates intractable practical difficulties for compliance with …


Financial Assistance - The Case For Re-Examining Section 76 Of The Companies Act, Wai Yee Wan Jan 2007

Financial Assistance - The Case For Re-Examining Section 76 Of The Companies Act, Wai Yee Wan

Research Collection Yong Pung How School Of Law

Section 76 of the Companies Act prohibits the giving by a company of financial assistance for the purpose of or in connection with the acquisition of its own shares. This penal provision is highly controversial in view of its breadth and uncertainty in its application. In the recent criminal prosecution of PP v Lew Syn Pau and in the recent civil litigation of Wu Yang Construction Group v Zhejiang Jinyi Group Co, Ltd, the Singapore High Court had to determine the scope of the prohibition under s 76 of the Companies Act. This case comment examines the two Singapore decisions …


Controlling Family Shareholders In Developing Countries: Anchoring Relational Exchange, Ronald J. Gilson Jan 2007

Controlling Family Shareholders In Developing Countries: Anchoring Relational Exchange, Ronald J. Gilson

Faculty Scholarship

In recent years, corporate governance scholarship has begun to focus on the most common distribution of public corporation ownership: outside of the United States and the United Kingdom, publicly owned corporations often have a controlling shareholder. The presence of a controlling shareholder is especially prevalent in developing countries. In Asia, for example, some two-thirds of public corporations have one, most of whom represent family ownership. The law and finance literature, exemplified by a series of articles by Rafael La Porta, Florencio Lopez-de-Silanes, Andrei Shleifer, Robert Vishny and others, treats the prevalence of controlling shareholders as the result of bad law; …


Sarbanes-Oxley's Effects On Small Firms: What Is The Evidence?, Ehud Kamar, Pinar Karaca-Mandic, Eric L. Talley Jan 2007

Sarbanes-Oxley's Effects On Small Firms: What Is The Evidence?, Ehud Kamar, Pinar Karaca-Mandic, Eric L. Talley

Faculty Scholarship

This article presents an overview of the regulatory regime created by the Sarbanes-Oxley Act of 2002 (SOX) and its implications for small firms. We review the available evidence in three distinct domains: compliance costs, stock price reactions, and firms' decisions to exit regulated securities markets.


The Duty To Creditors Reconsidered - Filling A Much Needed Gap In Corporation Law, Richard A. Booth Dec 2006

The Duty To Creditors Reconsidered - Filling A Much Needed Gap In Corporation Law, Richard A. Booth

Working Paper Series

The most fundamental question of corporation law is to whom does the board of directors of a corporation owe its fiduciary duty. Recently, the question has tended to be whether and under what circumstances the board of directors has the duty to maximize stockholder wealth. But if a corporation is insolvent (or close to it), business decisions designed to maximize stockholder wealth may result in a reduction of creditor wealth. Although the conventional wisdom is that creditors must protect themselves by contractual means, there is a substantial body of case law that says that creditors can assert claims sounding in …


Give Me Equity Or Give Me Death - The Role Of Competition And Compensation In Building Silicon Valley, Richard A. Booth Dec 2006

Give Me Equity Or Give Me Death - The Role Of Competition And Compensation In Building Silicon Valley, Richard A. Booth

Working Paper Series

In this essay, I argue that the preeminence of Silicon Valley as an incubator of technology companies is attributable to equity compensation. Ronald Gilson, relying on the work of AnnaLee Saxenian and others who have noted the tendency of Silicon Valley employees to job hop, has suggested that California law prohibiting the enforcement of non-compete agreements was a major factor in the rise of Silicon Valley (and the demise of Route 128). I extend this line of thought by suggesting that California employers may have relied on equity compensation as a substitute way to bind employees. I argue further that …


Contractarianism, Contractualism, And The Law Of Corporate Insolvency, Riz Mokal Nov 2006

Contractarianism, Contractualism, And The Law Of Corporate Insolvency, Riz Mokal

ExpressO

What is the appropriate way of theorising about corporate bankruptcy law? That lies, argues this paper, in rejecting Pareto and Kaldor-Hicks efficiency in favour of a particular conception of transaction cost efficiency, and in rejecting the ‘contractarian’ Creditors’ Bargain Model in favour of the ‘contractualist’ Authentic Consent Model. The paper vindicates these arguments with an analysis of the automatic stay which characterises the collective liquidation regime, of the pari passu principle often said to be at the heart of this regime, and of the liability imposed in some jurisdictions on the managers of terminally distressed companies for failing to take …


A Complete Property Right Amendment, John H. Ryskamp Oct 2006

A Complete Property Right Amendment, John H. Ryskamp

ExpressO

The trend of the eminent domain reform and "Kelo plus" initiatives is toward a comprehensive Constitutional property right incorporating the elements of level of review, nature of government action, and extent of compensation. This article contains a draft amendment which reflects these concerns.