Basics of Share Certificates and Uncertified Securities
Apr 14, 2015 By: Alan Gutterman
Many states permit issuance of shares without certificates whereby the ownership of shares is evidenced by an electronic or other indirect system of recording
Apr 14, 2015 By: Alan Gutterman
Many states permit issuance of shares without certificates whereby the ownership of shares is evidenced by an electronic or other indirect system of recording
Apr 7, 2015 By: Alan Gutterman
March 2015 marks the introduction of separate chapters on the admission of new owners to two important non-corporate entities: partnerships and limited liability companies
Mar 31, 2015 By: Jeremy Byellin
The recent award of a whistleblower bounty to a former company officer who didn’t originally report the alleged violation demonstrates that anyone within an organization can report securities violations.
Feb 26, 2015 By: Alan Gutterman
Retainer agreements and engagement letters should, of course, be tailored to the particular circumstances
Feb 17, 2015 By: Alan Gutterman
Joint ventures are a popular, but risky, strategy for expanding business activities, so it’s important to understand joint ventures fail.
Feb 13, 2015 By: Susan Hackett
Most guidelines and RFP processes are very often written poorly, promote dysfunctional behavior, and are not developed to promote the purposes they were designed to address
Feb 10, 2015 By: Alan Gutterman
Business counselor can assist their client through the termination process by providing them with tips and tools on how to handle the “exit interview”.
Feb 3, 2015 By: Alan Gutterman
Corporate buy-sell agreements are covered in detail in a chapter that provides an extensive set of practice tools to assist in negotiating and drafting effective agreements
Jan 27, 2015 By: Alan Gutterman
A variety of techniques can be used to complete the compliance audit process
Jan 20, 2015 By: Alan Gutterman
Risk assessment is an important element of a company’s overall compliance program since an obvious source of potential liability for the company is failure to comply with applicable laws and regulations