News & Analysis as of

Due Diligence Disqualification

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Regulatory Update - July 2019

This edition provides an overview of key regulatory developments in the past three months relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx), and their advisers. In...more

Goodwin

SEC Staff Issues New Guidance on Rule 506 Bad Actor Disqualification

Goodwin on

The staff of the SEC’s Division of Corporation Finance posted additional Compliance and Disclosure Interpretations (see Questions 260.14 through 260.27) to the SEC website that address the “bad actor” disqualification...more

Foley Hoag LLP

SEC Adopts "Bad Actor" Disqualification for Rule 506 Private Placement Offerings

Foley Hoag LLP on

On July 10, 2013, the Securities and Exchange Commission voted unanimously to adopt a “bad actor” disqualification for Rule 506 private placement offerings under Regulation D. Rule 506(d) will prevent issuers from relying on...more

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