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Corporate Officers Regulatory Agenda

Seward & Kissel LLP

SEC Provides Guidance on Determining Investment Company Status in SPAC Rule Release

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies, SPACs, Investment Advisers Quick Take: Following a 3-2 vote, the SEC adopted final rules to enhance disclosure and provide additional investor protections in IPOs by...more

Foley Hoag LLP

United States v. Elizabeth Holmes and Ramesh Balwani

Foley Hoag LLP on

I. WHY THIS CASE MADE THE LIST - A highly publicized and long-running multi-agency action against the former Chief Executive Officer and the former Chief Operating Officer of Theranos Inc. resulted in criminal convictions...more

The Volkov Law Group

DOJ’s Perspective on Clawbacks and Deferred Compensation Systems (Part III of III)

The Volkov Law Group on

DOJ’s decision to examine corporate compensation programs as an important part of a compliance program should be welcomed.  DOJ’s initiative asks a very good question – how can incentives and disincentives be used to promote...more

Dechert LLP

SEC Proposes Amendments to Beneficial-Ownership Reporting Requirements, Including Shortening 13D and 13G Filing Windows

Dechert LLP on

On February 10, 2020, the Securities and Exchange Commission (the “SEC”) proposed rule amendments (the “Proposed Amendments”) to accelerate the filing deadlines for Schedule 13D and 13G filings, expand the...more

Shumaker, Loop & Kendrick, LLP

insights Newsletter - Summer 2017

Shumaker is pleased to present the Summer 2017 issue of insights. In it we discuss: - Proposition 65 Amendments Require Re-evaluation of Products and Warnings - Privacy Compliance Driven by the European Union...more

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