Join us for a virtual roundtable discussion regarding the changing securities regulatory and enforcement landscape.
The election of Joe Biden and his subsequent nomination of Gary Gensler as the next chairman of the US...more
2/17/2021
/ Biden Administration ,
Compliance ,
Enforcement Actions ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Investors ,
Market Manipulation ,
Policies and Procedures ,
Presidential Nominations ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Webinars
The unique needs of ultra-high net worth families, their family office representatives and other advisers are multidimensional and ever-evolving. Join us November 21 for McDermott Will & Emery’s Private Client East Coast...more
10/22/2019
/ Aircraft ,
Aircraft Financing ,
Client Services ,
Confidential Information ,
Estate Planning ,
Events ,
Family Businesses ,
Foreign Investment ,
High Net-Worth ,
Inbound Investments ,
Investment Management ,
Outbound Transactions ,
Tax Audits ,
Tax Cuts and Jobs Act ,
Tax Liability ,
Tax Planning ,
Trust Funds ,
Wealth Management
A recent complaint concerning KIK Interactive Inc. filed in the US District Court of the Southern District of New York reveals some SEC priorities for cryptocurrency enforcement actions. The complaint indicates that the SEC...more
6/13/2019
/ Blockchain ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Howey ,
Initial Coin Offering (ICOs) ,
Investment Contract ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Token Sales ,
Unregistered Securities ,
Virtual Currency
On August 14, 2018, the SEC announced a $30,000 fine and trading ban against a company and its founder, finding that the defendants carried out a fraudulent ICO to fund a speculative oil-drilling venture, and that such...more
On April 9, 2018, the New York State Supreme Court granted Starbucks’ motion to dismiss claims that it had failed to collect more than $10 million of sales tax at its New York stores. Lawyers from McDermott’s State and Local...more
The Office of Foreign Asset Control of the Department of Treasury (OFAC) forecasted that it “may include as identifiers on the SDN List specific digital currency addresses associated with blocked persons.”
SDN stands for...more
In This Issue -
Welcome to the final issue of International News for 2014. As regulatory oversight of companies—from Sarbanes Oxley and the Dodd-Frank Act to the Foreign Corrupt Practices Act and the UK Bribery...more
12/3/2014
/ Chief Compliance Officers ,
China ,
COMESA ,
Compliance ,
Disclosure Requirements ,
Dodd-Frank ,
EU ,
Foreign Corrupt Practices Act (FCPA) ,
Germany ,
Internal Investigations ,
Non-Compete Agreements ,
Sarbanes-Oxley ,
Tax Evasion ,
UK Bribery Act