News & Analysis as of

Continuity of Enterprises

Snell & Wilmer

Successor Liability Considerations When Buying or Selling Colorado Distressed Entities

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COVID-19 and the resulting economic uncertainty are adversely impacting businesses worldwide. Colorado companies that are financially distressed may be unable to survive alone and may consider reevaluating consolidation...more

Ballard Spahr LLP

The Art of the (Bad) Deal: Successor Liability in M&A Transactions

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Many asset deals have hidden risks that can prove costly for buyers if not addressed prior to closing the transaction, particularly in a distressed transaction where the seller may be unable to satisfy retained liabilities...more

Sheppard Mullin Richter & Hampton LLP

Continuity of Enterprise is Enough for Successor Parties to be Liable

Successor liability is often a concern for the acquirer when purchasing substantially all of a seller’s assets. While this risk is well known, the circumstances under which an acquirer will be found liable under the theory...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- October 2013

Morrison & Foerster LLP on

- Regulatory Updates: CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that are Commodity Pools; SEC’s Final Rules on General Solicitation and Bad Actor Disqualification for Investment...more

Dechert LLP

It’s Time to Revisit Business Continuity Planning: What Works and What Does Not Work

Dechert LLP on

Recently, the Securities and Exchange Commission (“SEC”) and other U.S. financial regulators (collectively, “Regulators”) issued important guidance related to the need for industry participants to maintain business continuity...more

Orrick - Finance 20/20

SEC Issues a Risk Alert on Investment Advisers’ Business Continuity and Disaster Recovery Planning

On August 27, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding business continuity and disaster recovery planning for investment advisers....more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - August 30, 2013

Foley & Lardner LLP on

Non-Enforcement Matters: - Private Fund Issuers’ Use of New SEC Rule 506(c) Hardly a “Slam Dunk” - Advisers Need to Revisit Their Business Continuity Plans. Enforcement Matters: - Registered...more

Katten Muchin Rosenman LLP

SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning

On August 16, 2013, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, the Financial Industry Regulatory Authority and the Commodity Futures Trading Commission’s Division of Swap...more

BakerHostetler

Regulators Issue Joint Guidance on Business Continuity Planning

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Last Friday, the SEC, FINRA and CFTC issued joint guidance (Joint Guidance) on the "best practices and lessons learned" from their review of the business continuity and disaster recovery plans of firms as a result of the...more

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