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Criminal Law & Procedure> Sentencing> Sentencing Guidelines Generally

Criminal Law

(Sentencing Guidelines and Corporate Compliance and Ethics Programs)

The United States Sentencing Commission issued organizational sentencing guidelines in...

Investment Adviser Reporting Requirements

Investment advisers must file Form ADV with the Securities and Exchange Commission or with state offices for regulating securities. Investment advisers who manage $25 million or more in client assets must file the form and register with the...

Investment Advisor Codes of Ethics

Rule 204A-1 of the Securities and Exchange Commission, adopted pursuant to the Investment Advisers Act of 1940, requires implementation of codes of ethics by investment advisers. Each adviser's code of ethics must include a standard of conduct...

Reliance on Third-Party Advice or Information

The duty of care requires directors to act in good faith and in a manner that they reasonably believe is in the best interest of the corporation. Directors must exercise informed business judgment and be attentive to...

Bonds

Bonds are debt securities issued by governments, corporations, and other entities. In return for the loan of money to the issuer represented by the bond, the issuer promises to pay a set rate of interest over the life of the bond and then pay...