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Due Diligence Financial Adviser

Foley & Lardner LLP

Positioning for the Exit at the Entrance

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Startup founders are constantly seeking ways to gain a competitive edge and secure their place in the market, including positioning their company as an attractive acquisition target from the very beginning. While building a...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - June 28th, 8:25 am - 4:30 pm CT

Achieve your ESG goals in 2023 - Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory...more

ArentFox Schiff

Does the SEC "Best Interest" Regulation Go Far Enough?

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The US Securities and Exchange Commission (SEC) has adopted a new standard called Regulation Best Interest (Reg BI) that shifts the focus on protecting customers first and foremost. Although the regulation possibly puts...more

UB Greensfelder LLP

For FINRA, Unlike The SEC, Blaming The BD Always Seems To Be The Answer

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FINRA Enforcement has often been accused (again, admittedly, by me, and not too infrequently) of going after the “low-hanging fruit,” that is, taking the easy case when it presents itself. Putting aside the question whether...more

Goodwin

Get Your Board On Board with Limiting SPAC-Related Litigation Risk

Goodwin on

Although Special Purpose Acquisition Companies (SPACs) have been around for decades, only recently have they experienced an incredible surge in popularity and, inevitably, attention from regulators and plaintiffs’ law firms....more

Fenwick & West LLP

House Releases Draft Legislation Eliminating SPAC Safe Harbor for Forward Looking Statements

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The rise of special purpose acquisition companies (SPACs) as a popular alternative structure for taking a company public in the past year has caused increased regulatory scrutiny surrounding the SPAC structure. On May 24,...more

Fenwick & West LLP

SEC’s New Guidance on Liability Risks Likens SPACs to IPOs

Fenwick & West LLP on

John Coates, Acting Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission (SEC), issued a public statement providing insight into the SEC’s views on the application of federal...more

Goodwin

OCC Proposes Rules for CRA Benchmarks and Fair Access

Goodwin on

In the News. The Office of the Comptroller of the Currency (OCC) issued a long-awaited rule seeking comment on its proposed approach to determine the Community Reinvestment Act (CRA) evaluation measure benchmarks, retail...more

Morrison & Foerster LLP

Coming Home – Overview Of Going Private Transactions Of U.S.-Listed Chinese Companies

Since the early 1990s, the U.S. stock exchanges have long been home to many prominent Chinese companies as they tried to attract a wide spectrum of investors and enhance their global profile. However, waves of the reverse...more

Winstead PC

[Webinar] Administering A Trust In a Recession: Issues Surrounding Trust Loans To Beneficiaries - April 21st, 10:00 am - 10:45 am...

Winstead PC on

This presentation will address beneficiaries requesting loans from trustees. There are multiple issues that arise regarding the trustee’s authority to do so under the trust’s language and statutory and common law, and the...more

Locke Lord LLP

[Webinar] Issues and Recent Developments in Art Law, Part 1: Lending Issues - Wealth Management - February 21st, 11:00am CT

Locke Lord LLP on

Please join Christie’s and the Locke Lord LLP Art Law Group for an informative discussion on current lending issues affecting art. Wednesday, February 21, 2018, 11:00 a.m. - 12:30 p.m. (Central. Program will promptly begin...more

Foley & Lardner LLP

Part 2: Shelf Registration Extended Offering Period

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Our first post in this series examined the regulatory and contractual considerations for municipal securities issuers and conduit borrowers using shelf registration. Now we examine the equally important considerations for...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Make Sure You Check a Plan Provider’s Credentials

We’ve all made that mistake. We should know better, but when it comes to hiring people, we take their word for it instead of doing 5minutes of detective work....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Smaller The 401(k) Plan, The Bigger The Problems

401(k) plans are a world of contradictions. It’s one of the few employer provided benefits that an employee usually pays for through their account balance. It’s a retirement plan that an employer offers that the employee has...more

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