On March 3, 2021, the SEC’s Division of Examinations (“Division” or “EXAMS”) published its annual Examination Priorities Report, which identified eight primary areas of focus for Fiscal Year 2021. While many of these...more
4/1/2021
/ Anti-Money Laundering ,
Broker-Dealer ,
Coronavirus/COVID-19 ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
FinTech ,
Fraud ,
Information Security ,
Investment Adviser ,
Libor ,
Market Infrastructure ,
Regulation Best Interest ,
Retail Investors ,
Securities and Exchange Commission (SEC)
SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration -
For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We...more
2/2/2021
/ Annual Reports ,
Biden Administration ,
Confidential Information ,
Conflicts of Interest ,
Coronavirus/COVID-19 ,
Cybersecurity ,
EBITDA ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fees ,
Investigations ,
Investment Adviser ,
Investment Companies ,
Private Funds ,
Ransomware ,
Risk Alert
Energy Explosion: 10 Trends to Watch in Energy Restructuring -
On April 20, 2020, U.S. benchmark crude traded negative for the first time. This drastic drop in price was caused by the perfect storm of the Saudi...more
5/20/2020
/ Carbon Off-Set Credits ,
Coronavirus/COVID-19 ,
Energy Sector ,
Foreign Investment ,
Mexico ,
Natural Gas ,
Oil & Gas ,
Power Infrastructure ,
Renewable Energy ,
Russia ,
Saudi Arabia ,
Sustainability ,
Testimony
Enforcement authorities throughout the United States and Latin America are grappling with the impact of the COVID-19 pandemic, which is dramatically changing the economic landscape and is sure to change the enforcement...more