| Oct 30 2020 |
CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation & Chairman Statement on Use of Staff Letters & Guidance |
Katten |
| Oct 30 2020 |
SEC Staff Issues No-Action Relief Addressing Customer Protection Rule Violations Despite the Objection of Two Commissioners |
Katten |
| Oct 30 2020 |
ESMA Publishes Statement on Trading Obligation for Shares Under MiFIR After Brexit |
Katten |
| Oct 29 2020 |
Historic $2.9 Billion Anti-Bribery Settlement Has Important Takeaways for Manufacturers |
Robinson & Cole LLP |
| Oct 29 2020 |
Keeping Securities Disclosures in the Pink: Amendments to SEC Rule 15c-11 |
Norris McLaughlin P.A. |
| Oct 29 2020 |
Securities Fraud Litigation in Wake of Data Breach |
Robinson & Cole LLP |
| Oct 29 2020 |
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers |
Proskauer Rose LLP |
| Oct 28 2020 |
SEC Enforcement in 2020, the Election & Future of the SEC [PODCAST] |
Faegre Drinker |
| Oct 28 2020 |
Indian Regulators Tighten The Noose For Early Detection And Disclosure of Financial Frauds |
Nishith Desai Associates |
| Oct 28 2020 |
Public Company Alert: Are You Ready for the New Human Capital Management Disclosure? |
Jones Walker LLP |
| Oct 27 2020 |
The International State of Corruption: Why the Foreign Corrupt Practices Act Continues to be the Most Successful Mechanism Available to Fight Corruption. |
Kohn, Kohn & Colapinto |
| Oct 27 2020 |
SEC Continues to Scrutinize Disclosure of Perks and Personal Benefits |
Proskauer Rose LLP |
| Oct 26 2020 |
Applicability of Regulation Best Interest to Retirement Plans |
Faegre Drinker |
| Oct 26 2020 |
401(k) Fee Lawsuits: What Can a Plan Sponsor Do? |
Foley & Lardner LLP |
| Oct 26 2020 |
SEC Adopts New Rule 12D1-4 Overhauling Fund of Funds Arrangements--Are You Ready? |
K&L Gates LLP |
| Oct 26 2020 |
Aggressive SEC and DOJ Parallel Charges for Accounting Fraud |
Faegre Drinker |
| Oct 26 2020 |
Economic Analysis at the Class Certification Stage of Exchange Act Securities Class Actions |
Cornerstone Research |
| Oct 23 2020 |
ESMA Publishes Consultation Paper on Draft RTS Relating to CCPs |
Katten |
| Oct 23 2020 |
SEC Adopts Amendments to Modernize Auditor Independence Rules |
Katten |
| Oct 23 2020 |
CFTC Issues Staff Advisory on Virtual Currency & Approves Final Rule on Security Futures Margin |
Katten |
| Oct 22 2020 |
SEC Announces Record-Breaking Whistleblower Award of $114 Million |
Kohn, Kohn & Colapinto |
| Oct 22 2020 |
SEC Speaks 2020: Enforcement and Examination Highlights |
K&L Gates LLP |
| Oct 22 2020 |
With ESG, Things Aren’t Always As Green As They Seem |
Mintz |
| Oct 22 2020 |
Inside Looking Out: Enforcing the Law Against a Market Designer |
Norris McLaughlin P.A. |
| Oct 22 2020 |
Legal Obligations to Consider Before Installing a GPS Tracking Application |
Varnum LLP |
| Oct 21 2020 |
A Review of Recent Whistleblower Developments: October 21, 2020 |
Foley & Lardner LLP |
| Oct 21 2020 |
Thoughts When Linking Public Company Executive Pay to D&I Initiatives |
Hunton Andrews Kurth |
| Oct 21 2020 |
Two Isn’t Always Better Than One: SDNY Denies Class Certification Where Lead Plaintiff Hired Two Firms |
Mintz |
| Oct 21 2020 |
SEC Proposes Exemptive Relief for Finders |
Faegre Drinker |
| Oct 19 2020 |
SEC Proposal to Exempt Certain "Finders" from Broker-Dealer Registration May Allow Significant Capital Raising Activities by Non-Registered Persons |
Katten |
| Oct 19 2020 |
2021 SEC Priorities in the Fund Space |
Foley & Lardner LLP |
| Oct 19 2020 |
Proposed Amendments to Hart-Scott-Rodino Act Regulations Could Dramatically Expand Filing Obligations of Investment Managers |
K&L Gates LLP |
| Oct 19 2020 |
Louisiana Legislature Adopts Amendments To Louisiana Business Corporation Act |
Jones Walker LLP |
| Oct 16 2020 |
The SEC’s Enhanced Human Capital Disclosure Requirement: What Companies Should Know |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Oct 16 2020 |
SEC Adopts New Rule 498A for Variable Contracts |
Faegre Drinker |
