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Crisis Management Securities and Exchange Commission (SEC)

NAVEX

3 Coronavirus Compliance Tips From the SEC

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The coronavirus crisis is far from over, and compliance professionals still need every scrap of guidance that regulators can provide about how to run compliance programs in these difficult times. So when the Securities and...more

Morrison & Foerster LLP

Protecting Against Opportunistic Acquisitions And Activism – Considering A Stockholder Rights Plan

The recent collapse in equity values resulting from the coronavirus crisis has made public companies more vulnerable to opportunistic acquisition and activist strategies. As a result, companies should consider whether they...more

Robins Kaplan LLP

Financial Daily Dose 3.24.2020 | Top Story: Fed’s “Unlimited” QE Promise Doesn’t Reassure Markets Amid D.C. Deadlock

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A promise of “unlimited” QE from the Fed Monday morning briefly turned the tides on Dow futures but wasn’t enough to overcome another day of COVID-19-related fears and DC gridlock over the $1.8 trillion stimulus package III...more

Neal, Gerber & Eisenberg LLP

Considerations for Financial Institutions and their Customers

At this time of significant challenge due to the outbreak of COVID-19, the American financial system is strong and resilient. Financial institutions across the country stand ready to support their customers, employees, and...more

Polsinelli

BitBlog Bi-Weekly Update - March 2020 #2

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When we started thinking about this update, less than two weeks ago, the proposal by the U.S. Securities Exchange Commission (“SEC”) to liberalize Reg A and Reg CF (as discussed below) was the biggest news on our minds…. How...more

Morgan Lewis

COVID-19: SEC Division of Corporation Finance Issues Guidance on Annual Meetings

Morgan Lewis on

The staff of the Securities and Exchange Commission’s Division of Corporation Finance on March 13 issued guidance designed to assist companies in complying with federal proxy rules in light of the coronavirus (COVID-19)...more

Stinson - Corporate & Securities Law Blog

SEC Provides Guidance on Annual Meeting Dates and Using Virtual Meetings as a Result of Coronavirus

The SEC published guidance to assist public companies, investment companies, shareholders, and other market participants affected by COVID-19 with their upcoming annual shareholder meetings....more

Ballard Spahr LLP

SEC Division of Investment Management Issues Communication for Mutual Fund Boards

Ballard Spahr LLP on

Investment companies’ boards may have upcoming meetings that were planned anticipating in-person attendance, yet the spread of coronavirus (COVID-19) may alter travel plans. The Securities and Exchange Commission (SEC)...more

Goodwin

Financial Services Weekly News: Financial Regulators Respond To Coronavirus Outbreak

Goodwin on

In This Issue. The ongoing global outbreak of the coronavirus (COVID-19) continues to grow in scale and scope, creating public health and humanitarian challenges worldwide. Global economies are also being impacted. Federal...more

Mayer Brown Free Writings + Perspectives

COVID-19: FINRA Addresses U.S. Broker-Dealer Preparedness and Regulatory Relief in Regulatory Notice 20-08

On March 9, 2020, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 20-08 (Notice) with respect to business continuity planning in connection with the recent coronavirus (COVID-19) outbreak. ...more

Troutman Pepper

Virtual Shareholder Meetings on the Rise Due to Coronavirus (COVID-19)

Troutman Pepper on

Stock exchange-listed public companies in the United States are required to hold annual shareholder meetings, which are traditionally held in person. Virtual annual shareholder meetings — where shareholders participate...more

Society of Corporate Compliance and Ethics...

The coronavirus provides an opportunity to hone crisis response plans for the next big challenge

Report on Supply Chain Compliance 3, no. 4 (February 20, 2020) - The coronavirus that has, at the time of writing, infected more than 40,000 people around the world and killed more than 1,000, is also ravaging...more

Stinson - Corporate & Securities Law Blog

SEC Whistleblower Publicizes Anonymous Tip with Press Campaign

C-Suite executives may now have to be accustomed to a new form of adverse publicity to deal with in their crisis management planning – someone making publically available an SEC whistleblower submission and publicizing the...more

Cohen & Gresser LLP

Managing the Risks of Cross-Border Investigations for Israeli Businesses

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Enforcement Efforts Are Increasingly International - White collar investigations and prosecutions, notably those initiated by American authorities, have become increasingly international, reaching far beyond the borders of...more

Akin Gump Strauss Hauer & Feld LLP

Top 10 Topics for Directors in 2018

EXECUTIVE SUMMARY - 1. Cybersecurity threats. Cybersecurity preparedness is essential in 2018 as the risk of, and associated adverse impact of, breaches continue to rise. The past year redefined the upward bounds of the...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more

JD Supra Perspectives

What's the One Thing Missing From Your Corporate Compliance Program?

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What's the one thing missing from most corporate compliance programs? For a legal perspective, that's the question we put to corporate attorneys writing on JD Supra, asking each to commit to just one essential element...more

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