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Business Law Newsletters

Business & Corporate Entities> Corporations> Shareholders & Other Constituents> Meetings & Voting

(Preparations for the Annual Shareholder Meeting)

Business & Corporate Entities> Corporations> Shareholders & Other Constituents> Shareholder Duties & Liabilities

(Controlling Shareholder Duties)

Disclosure of a Corporate Opportunity

Generally, a corporate director breaches the duty of loyalty if she seizes a business opportunity for herself that the corporation was financially capable of undertaking or in which the corporation had a reasonable interest or expectancy. Additionally, the director’s loyalty is called into question if she takes personal advantage of a business opportunity that was in line with the corporation’s business.

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 Securities and Exchange Commission. Advisers managing smaller amounts of assets must file Form ADV with state securities regulators.

“Persons” Subject to the Sherman Act

Sections 1 through 3 of the Sherman Act, 15 U.S.C.S. §§ 1-3, provide for prison terms, fines and damages to be assessed against "persons" who enter into agreements in restraint of trade or who monopolize, attempt to monopolize or conspire to monopolize trade.

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