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Jackson Walker

SEC Adopts Sweeping New Private Fund Adviser Rules

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On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”), by a party-line vote of 3-2, adopted new rules applicable to investment advisers to private funds (“Private Fund Advisers”) that address transparency,...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - November 2022

Stoel Rives LLP on

The SEC adopted final clawback rules last month, here, a mere seven years after they were originally proposed! After publication of the final rules in the federal register (soon), stock exchanges must propose listing...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for June 2022

Morrison & Foerster LLP on

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary sources....more

Pillsbury Winthrop Shaw Pittman LLP

Bank Regulators Revive Restrictions on Incentive-Based Compensation

Pillsbury Winthrop Shaw Pittman LLP on

Financial regulators have proposed new rules limiting the incentive pay of employees and other service providers at financial institutions. The Dodd-Frank Act of 2010 prohibits incentive compensation that encourages...more

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