| Feb 22 2024 |
SEC Expands Regulatory Oversight of Private Fund Advisers - Amendments to Form PF |
ArentFox Schiff LLP |
| Feb 21 2024 |
Roundup of SEC Whistleblower Office’s January Notices of Covered Actions |
Kohn, Kohn & Colapinto |
| Feb 20 2024 |
Not Done Yet: Australia’s Odyssey Into Regulating Artificial Intelligence (AI) |
K&L Gates LLP |
| Feb 20 2024 |
Fifth Circuit Orders En Banc Rehearing of Rejected Challenge to Nasdaq’s Board-Diversity Rules |
Proskauer Rose LLP |
| Feb 19 2024 |
Regulation: Industry Comments on SEC’s Fund Name Proposal |
Cadwalader, Wickersham & Taft LLP |
| Feb 19 2024 |
Regulation: First Greenwashing Fine Issued in Australia |
Cadwalader, Wickersham & Taft LLP |
| Feb 19 2024 |
Litigation and Enforcement: Asset Manager Self-Reporting of Greenwashing Regulatory Breach |
Cadwalader, Wickersham & Taft LLP |
| Feb 16 2024 |
DOJ and SEC Officials Issue Harsh Warnings Concerning the Misuse of AI |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 16 2024 |
Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 16 2024 |
FinCEN Proposes AML Requirements on Registered Investment Advisers (Including Exempt Reporting Advisers) |
K&L Gates LLP |
| Feb 16 2024 |
Proposed AML Suspicious Activity Rule |
Stark & Stark |
| Feb 15 2024 |
SEC Receives Complaint of Alleged Greenwashing by International Energy Company |
Cadwalader, Wickersham & Taft LLP |
| Feb 15 2024 |
CFIUS Filing Pending: Czechoslovak Group a.s. and Sporting Products Business of Vista Outdoor Inc. |
Squire Patton Boggs (US) LLP |
| Feb 15 2024 |
Managing and Reporting Third-Party Cybersecurity Incidents Under the New SEC Cyber Risk Regulations |
Squire Patton Boggs (US) LLP |
| Feb 15 2024 |
Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability |
Katten |
| Feb 15 2024 |
It's Lupercalia! CFL Annual Reports Are Due In 30 Days |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 15 2024 |
SEC Broadens 'Dealer' Definition |
Katten |
| Feb 15 2024 |
Third Time's a Charm? SEC & CFTC Finalize Amendments to Form PF |
Katten |
| Feb 15 2024 |
SFC Circular on SFC-Authorized Funds with Exposure to Virtual Assets-Part 1 |
K&L Gates LLP |
| Feb 14 2024 |
SEC Adopts New Rules Regarding SPAC Transactions |
Barnes & Thornburg LLP |
| Feb 14 2024 |
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements with Retail Clients |
K&L Gates LLP |
| Feb 14 2024 |
U.S. Supreme Court Holds SOX Whistleblowers Not Required to Show Retaliatory Intent (US) |
Squire Patton Boggs (US) LLP |
| Feb 14 2024 |
SEC Expands “Dealer” Definition |
Hunton Andrews Kurth |
| Feb 13 2024 |
Frequently Asked Questions for Private Companies Considering a Reverse Merger |
Mintz |
| Feb 13 2024 |
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) |
K&L Gates LLP |
| Feb 13 2024 |
Blowing the Whistle on AI Investment Fraud |
Kohn, Kohn & Colapinto |
| Feb 12 2024 |
Fifth Circuit Court of Appeals Hears Oral Arguments in Industry Groups' Ongoing Petition to Vacate Private Fund Adviser Rules |
K&L Gates LLP |
| Feb 12 2024 |
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse |
Norris McLaughlin P.A. |
| Feb 12 2024 |
Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations |
Norris McLaughlin P.A. |
| Feb 9 2024 |
SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions |
Robinson & Cole LLP |
| Feb 9 2024 |
Supreme Court Rules ‘Retaliatory Intent’ Not Required for Securities Whistleblower Protection |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Feb 8 2024 |
Blockchain+ Bi-Weekly February 8, 2024 |
Polsinelli PC |
| Feb 8 2024 |
Amicus Brief Outlines Congressional Intent for Burden of Proof in SOX Whistleblower Cases |
Kohn, Kohn & Colapinto |
| Feb 8 2024 |
Non-Financial Corporate Reporting for U.S. Companies – Where to Start? |
Proskauer Rose LLP |
| Feb 8 2024 |
EnforceMintz — 2023 Brings Uptick in Cybersecurity Enforcement, Insight Into Potential Risks |
Mintz |
