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Mayer Brown

BaFin Provides Guidance on Accelerated Review of Equity Prospectuses

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In line with broader efforts to remove procedural deterrents from issuers engaging in securities offerings, for about the past year, the German Federal Financial Supervisory Authority (Bundesanstalt für...more

Stikeman Elliott LLP

OSC Publishes Summary Report for Dealers, Advisers and Investment Fund Managers for 2023-2024

Stikeman Elliott LLP on

The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) has released its annual Summary Report for Dealers, Advisers and Investment Fund Managers (the “Report”) for the...more

DLA Piper

EU: CJEU Confirms That Legitimate Interests Can Cover Purely Commercial Interests

DLA Piper on

Introduction - The subject of “legitimate interests” and in particular whether they can be “purely commercial” has been a topic of front and center stage debate in the Netherlands for some time. The Dutch data protection...more

Farrell Fritz, P.C.

Bookkeeper Liability? It’s a Real Thing

Farrell Fritz, P.C. on

Accountants are professionals. They carry malpractice insurance. They are potential deep pockets. For these reasons, accountants sometimes find themselves defending against liability claims in business divorce lawsuits. The...more

Conyers

Winding-Up Petition Struck Out, Joint Provisional Liquidators Discharged in Bermuda

Conyers on

On 15 May 2024, the Bermuda Court granted an order striking out a winding-up petition (the “Petition”), setting aside an earlier order appointing joint provisional liquidators (“JPLs”), and discharging the JPLs appointed over...more

Perkins Coie

2024 Ray Garrett Jr. Corporate & Securities Law Institute: SEC Officials Comment on Disclosures and Enforcement Priorities

Perkins Coie on

U.S. Securities and Exchange Commission (SEC) officials, private practitioners, in-house counsel, and others in the corporate and securities industry gathered in Chicago on September 26 and 27, 2024, for the Annual Ray...more

Skadden, Arps, Slate, Meagher & Flom LLP

OFSI Issues First Monetary Penalty for Breach of Sanctions Imposed on Russia in Response to Its Invasion of Ukraine

On 27 September 2024, the UK’s financial sanctions regulator, the Office of Financial Sanctions Implementation (OFSI), announced that it had issued its first monetary penalty for a breach of UK financial sanctions imposed...more

White & Case LLP

DOJ to Evaluate AI Risk Management and Whistleblower Protections in Corporate Compliance Programs

White & Case LLP on

Over the past year, the Department of Justice ("DOJ") has warned that it will seek stiffer sentences for offenses made significantly more dangerous by the misuse of artificial intelligence ("AI") and has asked the US...more

Perkins Coie

California Updates Climate Disclosure Rules

Perkins Coie on

Public Chatter provides practical guidance—and the latest developments—to those grappling with public company securities law and corporate governance issues, through content developed from an in-house perspective....more

Groom Law Group, Chartered

Proposed Corporate Minimum Tax Rules Generally Exempt Income Under Tax-Favored Benefit Plans

The Inflation Reduction Act of 2022 (“Act”) imposed a 15% corporate minimum tax on the “adjusted financial statement income” (“AFSI”) of taxpayers with more than $1 billion of AFSI, effective for tax years beginning after...more

WilmerHale

Trending: Special Deference for Foreign Insolvency Proceedings Both In and Out of Chapter 15

WilmerHale on

Several cases this year have demonstrated the continuing trend of U.S. courts’ respect toward foreign insolvency proceedings. Recent decisions from the Third and Eleventh Circuits, Southern District of New York and other...more

Cooley LLP

SEC charges director with proxy violation for failing to disclose personal relationship bearing on independence

Cooley LLP on

Last week, the SEC announced settled charges against James R. Craigie, a former CEO, Chair and board member of Church & Dwight Co. Inc., an NYSE-listed “manufacturer of consumer-packaged goods,” for “violating proxy...more

J.S. Held

Cyber Business Interruption Playbook: A Guide to Response and Recovery

J.S. Held on

Over the past 20 years, technology has changed the way we communicate, conduct business, and live. It is rare to walk down a city street and not see a person using some type of technology. It has become an integral and...more

Holland & Knight LLP

Gibson Decision Hands Atlantic City Casino-Hotels Dismissal of Price-Fixing Claims

Holland & Knight LLP on

As Holland & Knight's Antitrust Team previously reported, the U.S. District Court for the District of Nevada in May 2024 dismissed with prejudice a putative class action alleging that a handful of Las Vegas hotel operators...more

BCLP

Recent SEC Enforcement Action Integrating Affiliated Advisers

BCLP on

A recent Securities and Exchange Commission (“SEC”) settled enforcement action serves as an excellent reminder of the risk of operational integration to firms that operate multiple advisory entities, especially where one of...more

Thomas Fox - Compliance Evangelist

Corruption, Crime & Compliance: Four Sanctions Cases That Everyone Should Know

How prepared is your organization to handle the evolving landscape of sanctions compliance? In this episode of Corruption, Crime and Compliance, Michael Volkov dives into critical sanctions compliance cases and their...more

Society of Corporate Compliance and Ethics...

[Event] Regional Compliance & Ethics Conference - November 7th, Dubai, United Arab Emirates

Looking for compliance education and networking in your area? SCCE’s Regional Compliance & Ethics Conferences offer convenient, local compliance education for practitioners in a variety of locations across the globe, and...more

Katten Muchin Rosenman LLP

SB 219 Makes Important Updates to California Climate Disclosure Regime

On September 27, 2024, California Governor Gavin Newsom signed Senate Bill 219 (SB 219) into law, making important changes to California's historic Climate Corporate Data Accountability Act (SB 253) and the Climate‐Related...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: DOJ Whistleblower Financial Incentive Program

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Farella Braun + Martel LLP

Howey Test for Crypto Asset Transactions Analyzed in Recent Denial of Kraken's Motion to Dismiss in ND California

In a recent decision in SEC v. Payward, Inc. (d/b/a “Kraken”), Judge Orrick of the Northern District of California denied Kraken's motion to dismiss the SEC's suit against it. In its complaint, the SEC alleges that Kraken...more

Thomas Fox - Compliance Evangelist

Deere’s FCPA Case: Lessons on Gifts, Travel and Entertainment

We recently had a Foreign Corrupt Practices Act (FCPA) enforcement action that reminded me that everything old is new again in anti-corruption compliance. The Securities and Exchange Commission (SEC) FCPA enforcement action...more

Vinson & Elkins LLP

[CLE Hybrid Event] Conducting Effective and Efficient Internal Investigations - October 24th, Houston, TX

Vinson & Elkins LLP on

Internal investigations are key to good corporate governance when a board of directors is presented with credible allegations of misconduct. An effective internal investigation equips the company with information necessary to...more

Seward & Kissel LLP

Big Monday, That’s the Spirit, and Settlement Protocol

Seward & Kissel LLP on

FTX Dotcom creditors vote massively in favor of reorganizing plan | Coindesk - Creditor approval has been secured for a reorganization plan of the former crypto exchange, FTX. The plan is set to be presented to the...more

Walkers

What are Jersey Separate Limited Partnerships and Incorporated Limited Partnerships

Walkers on

Introduction of separate limited partnerships. Introduction of incorporated limited partnerships....more

Thomas Fox - Compliance Evangelist

Adventures in Compliance: Special Episode: Old Time Radio Meets The Silver Screen – Adam Graham on The Movie ‘The Adventures of...

We’re taking things in a new direction today with our second special episode of Adventures in Compliance! Tom Fox is excited to welcome back Adam Graham for a short, two-part series where we dive into some movie adaptations...more

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