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

Admitting new owners to non-corporate entities

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

Whistleblower award to former company officer underscores importance of diligence

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.

Explaining retainer agreements to clients before they sign

Feb 26, 2015 By: Alan Gutterman

Retainer agreements and engagement letters should, of course, be tailored to the particular circumstances

Why joint ventures fail

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.

Are Your Processes Working For or Against You?

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

Supporting your client’s employee termination process

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”.

Practice toolkit for corporate buy-sell agreements

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

Conducting compliance audits

Jan 27, 2015 By: Alan Gutterman

A variety of techniques can be used to complete the compliance audit process

Definitions and categories of risks for your clients

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

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