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K&L Gates LLP

August 2024 ESG Policy Update – Australia

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Australian Update - Guide to Sustainable Collaborations – ACCC - On 8 July 2024, the Australian Competition & Consumer Commission (ACCC) published a draft guide on Sustainability collaborations and Australian competition law...more

Cooley LLP

Update to FAQs regarding de-SPACs and submission of draft registration statements

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The 2012 JOBS Act permitted Emerging Growth Companies to initiate the IPO process by submitting their IPO registration statements confidentially to the SEC for nonpublic review by the SEC staff. The confidential process was...more

Cooley LLP

SEC charges Zymergen for “unsupported hype” in its IPO

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The SEC has announced settled charges against Zymergen, which, prior to its recent bankruptcy and ultimate liquidation, was a biotech “focused on the manufacture of novel materials, including optical films used in electronic...more

Dorsey & Whitney LLP

Companies Subject to U.S. Jurisdiction Should not Restrict Personnel from Being SEC Whistleblowers, or Receiving SEC Whistleblower...

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SEC rules prohibit taking “any action” to impede an individual from communicating directly with the SEC about a possible securities law violation, including by enforcing, or threatening to enforce, a confidentiality...more

Orrick, Herrington & Sutcliffe LLP

California Attorney General settles with crypto company

On September 4, California Attorney General (AG) Rob Bonta announced a settlement with a cryptocurrency trading platform for allegedly failing to comply with state cryptocurrency laws. According to the settlement, the company...more

Cooley LLP

HKEx Relaxes Listing Rules for Specialist Technology Companies and DeSPAC Transactions

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On August 23, 2024, the Securities and Futures Commission of Hong Kong and the Stock Exchange of Hong Kong Limited (HKEx) jointly announced temporary modifications to HKEx’s Listing Rules and guidance materials with respect...more

Hogan Lovells

In re Cognizant Technology: Third Circuit adopts de novo review for failure to plead demand futility

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In re Cognizant Technology Solutions Corporation Derivative Litigation, the United States Court of Appeals for the Third Circuit, sitting en banc, overruled its prior decision in Blasband v. Rales that applied an...more

Proskauer - Regulatory & Compliance

SEC  “Greenwashing” Enforcement  Case Against Public Company

Last week, the SEC publicly announced a settled enforcement case against Keurig Dr. Pepper.  The case focused on the company’s disclosure in its annual reports on Form 10-K on whether its K-Cup pods could (or would) be...more

Orrick, Herrington & Sutcliffe LLP

SEC charges company for defrauding customers for $6M via false IPO

On August 26, the SEC filed a complaint and demand for a jury trial against a South Dakota corporation, its China-based investment adviser, and their CEO for allegedly defrauding investors out of millions of dollars in...more

Paul Hastings LLP

Public Company Watch: September 2024

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In the September edition of our Public Company Watch, we cover key issues impacting public companies, including updates regarding the most recent amendments to the Delaware General Corporate Law and the EU’s Corporate...more

Orrick, Herrington & Sutcliffe LLP

SEC alleges whistleblower protection violations in customer gag clauses

On September 4, the SEC announced it had settled charges against three affiliated registrants (the respondents) accused of violating the whistleblower protection rule. According to the SEC order, from May 2021 through...more

Ballard Spahr LLP

Are Whistleblower Protection Violations the New SEC Sweep?

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The Securities and Exchange Commission (SEC) continues to investigate companies for including language in their employment and separation agreements or retail client settlement agreements that potentially discourages...more

Cooley LLP

Amended Filing Deadlines for Schedule 13G Filers Go Into Effect September 30, 2024

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In 2023, the Securities and Exchange Commission (SEC) adopted wide-ranging rule changes applicable to beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act. These rule changes are...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’ – Part 3

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Thomas Fox - Compliance Evangelist

Great Women in Compliance: Karen Woody on The Voice of Victims in Negotiated Plea Agreements

The recent Boeing plea agreement has led to many discussions about the role of victims in negotiated settlements, and today we have one of the top academic experts on the SEC and financial securities regulation, Karen Woody. ...more

Thomas Fox - Compliance Evangelist

Compliance into the Weeds: Everything Old is New Again – The John Deere FCPA Enforcement Action

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: September 18, 2024 – The Fireworks Coming Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All...more

K&L Gates LLP

ESG—Australia: Mandatory Climate-Related Financial Disclosures: Legislation Passes Parliament

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On 22 August 2024, the Senate passed the Treasury Laws Amendment (Financial Market Infrastructure and Other Measures) Bill 2024 (the Bill), which requires certain organisations to make mandatory climate-related financial...more

Cadwalader, Wickersham & Taft LLP

The UK’s FCA Offers a Temporary Extension on Sustainability Disclosure Requirements

The UK’s Financial Conduct Authority ("FCA") Sustainability Disclosure Requirements and investment labels regime ("SDR") was originally scheduled to come into force from 2 December 2024.  In order to allow firms to deal with...more

Alston & Bird

Shareholders Sharpen Focus on AI-Related Securities Disclosures

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What Happened? As Alston & Bird’s Securities Litigation Group reported, the number of securities class actions based on AI-related allegations is rising. With six new filings in the first half of 2024 and at least five more...more

Mayer Brown Free Writings + Perspectives

Emerging Market Trends for FPIs: Insights from the ABA Business Law Section Fall Meeting

During the American Bar Association’s Business Law Section Fall Meeting, the International Securities Matter Subcommittee of the Federal Regulation of Securities Committee discussed recent market trends affecting foreign...more

Cooley LLP

SEC Approves PCAOB’s ‘Quality Control Standard’ for Audit Firms

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Last week, the SEC approved the PCAOB’s new quality control standard – QC 1000 – that establishes a risk-based quality control framework for independent auditors to follow....more

Hogan Lovells

Italian Legislative Decree implementing MiCAR

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The Italian Legislative Decree implementing MiCAR has been published in the Official Gazette. Among other things, it designates CONSOB and the Bank of Italy as competent supervisory authorities and sets out a transitional...more

Robinson Bradshaw

New Disclosure Requirements for Fund Sponsors Under the California Venture Capital Diversity Reporting Law

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In June, California approved amendments to its October 2023 law, Fair Investment Practices by Venture Capital Companies (California VC Diversity Law). The California VC Diversity Law requires covered venture capital...more

Greenberg Glusker LLP

Corporate Transparency Act: Reporting Deadline Approaching

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The Corporate Transparency Act (CTA) imposes far-reaching new reporting obligations on many U.S. businesses, and the penalties for non-compliance are substantial. With only a few months left before the January 1, 2025,...more

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