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Securities Civil Procedure

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Thomas Fox - Compliance Evangelist

Because That’s What Heroes Do: Deep Space 9: Episode 17 – Sacrifice of Angels: Forging New Alliances with Bonds that Defy Time and...

Get ready for an exciting new season of Because That’s What Heroes Do. In this season, they take a deep dive into their favorite 15 episodes of Deep Space 9. Alex Murphy (Murphy), a Star Trek aficionado from Montreal, joins...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending November 9, 2024

Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to...more

Cadwalader, Wickersham & Taft LLP

In the Lien of Sight November 2024 - Second Lien Loans in Subscription Finance

Although second lien loans in subscription line finance have been discussed with interest over the years, their use has been sporadic and it has only been very recently that we have started to see a real uptake in the use of...more

Mayer Brown

English High Court Clarifies Scope of FSMA Securities Litigation

Mayer Brown on

A recent decision of the High Court in a strike out application in securities class action litigation has clarified the scope of  s90A and Schedule 10A of the Financial Services and Markets Act 2000 ("FSMA") regarding...more

BCLP

Artificial Intelligence Stays in the SEC's Cross-Hairs

BCLP on

As news stories about AI have surged, so have enforcement actions by the SEC alleging fraudulent statements about AI capabilities....more

Perkins Coie

Dissenting Commissioners’ Statement in SEC Cyber Disclosure Enforcement Actions May Forecast Change Ahead

Perkins Coie on

In late October, the SEC announced settled enforcement actions against four public companies, all stemming from impacts from the compromise of SolarWinds’ Orion software. Each order included allegations that the applicable...more

A&O Shearman

Great Fund Insights: ELTIF Regulation: consolidated text including ELTIF 2.0

A&O Shearman on

The ELTIF-RTS, the final piece of the puzzle for the ELTIF framework, have been published in the Official Journal on October 25, 2024 and entered into force on October 26, 2024. This marks the end of a long and complex...more

A&O Shearman

UK Prudential Regulation Authority Policy Statement on the April Occasional Consultation Paper

A&O Shearman on

The U.K. Prudential Regulation Authority has published a policy statement to its occasional consultation paper (CP6/24). The statement provides feedback to responses the PRA received to the consultation paper, as well as the...more

A&O Shearman

Bank of England Speech on Artificial Intelligence and Financial Stability

A&O Shearman on

The Bank of England has published a speech by Sarah Breeden, BoE Deputy Governor, Financial Stability, on AI and financial stability. In the speech, Ms. Breeden explores the novel features of Generative AI, and how financial...more

A&O Shearman

Draft Financial Services and Markets Act 2023 (Addition of Relevant Enactments) Regulations 2024 Published

A&O Shearman on

The draft Financial Services and Markets Act 2023 (Addition of Relevant Enactments) Regulations 2024 have been published, together with an explanatory memorandum. The Regulations add to the list of "relevant enactments" for...more

A&O Shearman

Delegated Regulation Amending CRR Postponing Application Date of Own Funds Requirement for Market Risk Published in the OJ

A&O Shearman on

Commission Delegated Regulation (EU) 2024/2795 amending the EU Capital Requirements Regulation with regard to the date of application of the own funds requirements for market risk has been published in the Official Journal of...more

Wiley Rein LLP

Ep. 3 - The Art of Parallel Investigations (Part 2)

Wiley Rein LLP on

In the second installment of this two-part interview, host Kevin Muhlendorf continues the conversation on the complexities of parallel investigations with Brian Young, Director of the Whistleblower Office at the Commodity...more

Paul Hastings LLP

Daily Financial Regulation Update -- Friday November 8

Paul Hastings LLP on

November 7, 2024 - The Federal Open Markets Committee decided to lower the target range for the federal funds rate by 1/4 percentage point to 4-1/2 to 4-3/4 percent. November 7, 2024- Securities and Exchange...more

Hogan Lovells

Delaware Court of Chancery dismisses “De-SPAC” merger claims at motion to dismiss stage

Hogan Lovells on

In In re Hennessy Capital Acquisition Corp. IV Stockholder Litigation, the Delaware Court of Chancery for the first time dismissed breach of fiduciary duty claims against directors involved in a merger with a special purpose...more

Cooley LLP

Securities Litigation + Enforcement Highlights From Q2 + Q3 2024

Cooley LLP on

Cooley’s securities litigation + enforcement group continued to share key insights on key cases and developments in securities litigation throughout the spring and summer. They highlighted important decisions in Delaware...more

Katten Muchin Rosenman LLP

Foreign Listed Stock Index Futures and Options Approvals November 2024

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 8, 2024. All prior versions are superseded and should be discarded. Please note the following...more

Woodruff Sawyer

The Auditors’ View of the Current SPAC Market

Woodruff Sawyer on

The SPAC market is chugging along with several IPOs and multiple deals being announced and closed. Although it's great to see this kind of activity again, the SPAC market is never without its challenges....more

Venable LLP

Trump's Second Term: What's Ahead for Eight Key Sectors?

Venable LLP on

During a campaign season that saw an incumbent president bow out of his own re-election bid and assassination attempts against his challenger, substantive policy debates were sometimes obscured by the drama. ...more

Thomas Fox - Compliance Evangelist

12 O’Clock High, a podcast on business leadership – Leadership Lessons from A Man for All Seasons

12 O’Clock High, a podcast on business leadership, brings together stories from history, the arts and movies, research, and current events to consider leadership lessons. In this episode, we believe the movie Man for All...more

Dechert LLP

Dechert Cyber Bits - Issue 65

Dechert LLP on

Four Companies Settle SEC Allegations for “Misleading Cyber Disclosures” Regarding SolarWinds - On October 22, 2024, the Securities and Exchange Commission (“SEC”) announced settlements with four companies for alleged...more

K&L Gates LLP

Navigating US Regulatory and Tax Issues—A Primer for Singapore Managers Marketing Private Funds in the United States

K&L Gates LLP on

As the United States remains a leading source of global private equity (PE), real estate (PERE) and venture (VC) capital, many Singapore-based managers are increasingly seeking to market their funds to US investors. While...more

Vinson & Elkins LLP

Ongoing Legal Battle Over California’s Climate-Related Disclosure Laws: District Court Denies Motion for Summary Judgment

Vinson & Elkins LLP on

On November 5, 2024, the U.S. District Court for the Central District of California denied a motion for summary judgment that sought to declare SB 253 and SB 261 (the “California Climate Laws”) invalid on their face under the...more

Proskauer - Regulatory & Compliance

FCA publishes SDR and investment label pre-contractual disclosure examples

On 1 November 2024, the Financial Conduct Authority (“FCA”) updated its sustainability disclosure and labelling regime website and added detailed examples of pre-contractual disclosures to its Sustainability Disclosure...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day – Why Data-Driven Culture is the Future of Compliance

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

Thomas Fox - Compliance Evangelist

Home About Us Blog Podcasts Resources Giving Back Sponsorship Get Booked 12 O’Clock High, a podcast on business leadership –...

12 O’Clock High, a podcast on business leadership, brings together stories from history, the arts and movies, research, and current events to consider leadership lessons. In this episode, we believe the movie Man for All...more

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