Last week, the U.S. Securities and Exchange Commission (SEC) made a significant procedural shift: companies under investigation can now present settlement offers and waiver requests together for simultaneous consideration....more
9/30/2025
/ Disqualification ,
Enforcement Actions ,
Investment ,
Policies and Procedures ,
Regulatory Oversight ,
Regulatory Reform ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Settlement Agreements ,
Settlement Offer ,
Waivers
The SEC just fired a warning shot across international waters. On September 5th, the agency announced the launch of a new Cross-Border Task Force aimed squarely at rooting out fraud by foreign companies—and the professionals...more
9/8/2025
/ Anti-Fraud Provisions ,
Auditors ,
Capital Markets ,
China ,
Corporate Counsel ,
Cross-Border Transactions ,
Enforcement Actions ,
Financial Markets ,
Foreign Private Issuers ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation
The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities transactions or investment strategies. ...more