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BCLP

The Road Ahead for Tokenized Investment Funds in the UK

BCLP on

Earlier this year, the technology working group of HM Treasury outlined the initial stages of a strategic road map for the development of a fund tokenization industry in the U.K., with a final phase to be confirmed by the end...more

Troutman Pepper

More Than $1.24B in SBA Debenture Leverage Priced at 4.38%

Troutman Pepper on

Licensed by the U.S. Small Business Administration (SBA) under the Small Business Investment Act of 1958, a small business investment company (SBIC) represents a privately owned and operated investment fund that makes...more

Cadwalader, Wickersham & Taft LLP

Basket Contract Listed Transactions

On July 12, 2024, Treasury and the IRS published proposed regulations (the “Proposed Regulations”) that would identify certain basket contract transactions as well as transactions substantially similar thereto as “listed...more

Mayer Brown Free Writings + Perspectives

Broker-Dealer’s Failure to Comply with Regulation Best Interest’s Compliance Obligation is a Willful Violation of the General...

A broker-dealer (the “Dealer”) entered into a cease-and-desist order with the Securities and Exchange Commission for failing to maintain and enforce written policies and procedures reasonably designed to achieve compliance...more

Troutman Pepper

Prioritize Document Review for SEC Whistleblower Rule Compliance

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If you have not recently reviewed your company’s documents to ensure they comply with Securities and Exchange Commission (SEC) whistleblower protection rules, you should put it at the top of your to-do list. On September 9,...more

Cooley LLP

NYSE withdraws proposal to extend time period for completion of de-SPAC transaction

Cooley LLP on

In April, the NYSE proposed a rule change that would have amended Section 102.06 of the Listed Company Manual to allow a SPAC to “remain listed until forty-two months from its original listing date if it has entered into a...more

A&O Shearman

Pensions: DC Trustee agenda update - October 2024

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Welcome to our monthly update on current legal issues for trustees of DC pension schemes, designed to help you stay up to date with key developments between trustee meetings and to support the legal update item on your next...more

Skadden, Arps, Slate, Meagher & Flom LLP

Recent Developments Could Facilitate Greater Bank and Broker-Dealer Involvement in Cryptoasset Services

On September 9, 2024, the Chief Accountant of the U.S. Securities and Exchange Commission (SEC), Paul Munter, delivered remarks describing circumstances in which, in the SEC staff’s view, entities may engage in cryptoasset...more

Morgan Lewis

New CFTC Rule 4.7 Changes Have Private Funds Industry Breathing a Sigh of Relief

Morgan Lewis on

The US Commodity Futures Trading Commission on September 12 issued final changes to Rule 4.7 that were limited to an increase in the “Portfolio Requirement” threshold contained in the definition of “qualified eligible person”...more

Orrick, Herrington & Sutcliffe LLP

FINRA accepts placement agent’s AWC

On September 16, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) from a member firm, settling alleged rule violations made during its participation as a placement agent in a contingency offering....more

BCLP

SEC Penalizes Company for "Unsupported Hype"

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The SEC announced settled charges against Zymergen Inc. in connection with its IPO based on misleading statements about its market potential, revenue prospects and customer pipeline. After raising $530 million in the 2021...more

Husch Blackwell LLP

Thought Leadership SEC Charges Public Companies with Violations of Whistleblower Protection Rule

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On September 9, 2024, the Securities and Exchange Commission (SEC) announced settlements with seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede...more

Jenner & Block

Client Alert: Key Takeaways from SEC Fraud Charges Against the CEO, CFO, and Audit Committee Chair of Kubient

Jenner & Block on

Earlier this month, the SEC brought accounting fraud charges in the U.S. District Court for the Southern District of New York against the CEO, CFO, and Audit Committee Chair of Kubient, a company that purported to use AI...more

Rothwell, Figg, Ernst & Manbeck, P.C.

The Corporate Transparency Act: What you Need to Know to Comply with the New Requirements

The Corporate Transparency Act (CTA) went into effect on January 1, 2024, and will impact millions of U.S. businesses by imposing requirements to file corporate transparency reports with beneficial ownership information...more

Winstead PC

Update to the Qualified Professional Asset Manager Exemption

Winstead PC on

The U.S. Department of Labor’s (the “DOL”) amendment to the qualified professional asset manager (“QPAM”) prohibited transaction class exemption 84-14 (the “Exemption”) went into effect on June 17, 2024. Current QPAMs must...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for August 2024

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •The SEC’s case against crypto firm Kraken is permitted to...more

Goodwin

The Publication of the CSSF’s Annual Report 2023

Goodwin on

On September 19th, 2024, the CSSF published its 2023 annual report, highlighting key regulatory challenges, particularly in the realm of crypto-assets following the implementation of the Markets in Crypto-Assets Regulation...more

Fenwick & West LLP

Key Considerations for New Insider Trading Disclosures

Fenwick & West LLP on

The following new SEC insider trading disclosures will be required in companies’ upcoming Forms 10-K (FY 2024) and/or proxy statements...more

Foodman CPAs & Advisors

Pig Butchering Crypto Scams Rising

Pig Butchering Crypto Scams are scams which resemble the practice of fattening a hog before slaughter....more

Conyers

Taking Security Over Shares in a Cayman Islands Exempted Company

Conyers on

The Cayman Islands (“Cayman”) is recognised as a leading international financial centre and well regarded as a creditor-friendly jurisdiction (with the absence of debtor-friendly insolvency such as Chapter XI in the United...more

Thomas Fox - Compliance Evangelist

The Hill Country Podcast: Exploring Kerrville’s Literary Community with Rachael Carruthers

Welcome to award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, Hill Country resident Tom Fox visits with the people and organizations that make this...more

Thomas Fox - Compliance Evangelist

Compliance into the Weeds: Argentieri Speech and Updated ECCP – The First Analysis

The award-winning, Compliance into the Weeds is the only weekly podcast that 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

Compliance Tip of the Day: Lesson from The John Deere FCPA Enforcement Action – Pre – acquisition Due Diligence

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

Daily Compliance News: September 25, 2024 – The $11bn Forfeiture 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

Mayer Brown

Stock Options tem caráter mercantil e não remuneratório, diz STJ

Mayer Brown on

O Superior Tribunal de Justiça (STJ) decidiu que as opções de compra de ações concedidas a administradores e empregados tem caráter mercantil e não remuneratório. Com isso, o Imposto de Renda da Pessoa Física (IRPF) não pode...more

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