Riskology By Infortal™: Episode 37 – Boots on Deck: Managing Maritime Risk with Joshua Hutchinson from AMBREY
FCPA Compliance Report – Episode 737 – Navigating Compliance in a Trump Presidency: Insights and Concerns
Sunday Book Review: November 24, 2024 – The Thanksgiving Mysteries Edition
Fox on Podcasting – Unleashing Creativity and Profit Through Podcast Seasons
10 For 10: Top Compliance Stories For the Week Ending November 23, 2024
Compliance Tip of the Day – Policy Week: Extortion Payments
Daily Compliance News: November 22, 2024 – The All NYT Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Business Integrity Innovations: Championing Integrity – Trade, Integrity, and Investment in Africa: Insights from Toki Mabogunje
Daily Compliance News: November 21, 2024 – The Adani Group Edition
Compliance Tip of the Day: Policy Week - Facilitation Payments
Life With GDPR: Understanding the UK’s Failure to Prevent Fraud
Life With GDPR – Understanding the UK’s Failure to Prevent Fraud
The Hill Country Podcast – Managing Growth: Insights from Kerrville’s City Manager Dalton Rice
Compliance Tip of the Day: Policy Week - Political Contributions
Great Women in Compliance: Joy Hayes and Gitanjali Sakhuja on Expats and Repats: Working Abroad & Reentry to the US
Compliance into the Weeds: DOJ Under Trump: FCPA Enforcement and Compliance
Daily Compliance News: November 20, 2024-the Mr. Non-Compliant Edition
Podcast - Staying Compliant When Sharing Employees or Services
Have you ever wondered how different cultures and generations engage with a company's code of conduct? Do employees across the globe really follow ethical guidelines in the same way, or are there stark contrasts depending on...more
Good news! The second chamber (Bundesrat) has now paved the way for the eagerly awaited and much-debated inclusion of a group privilege in sec. 19a of the German Income Tax Act (“EStG”). German start-ups that have done the...more
On November 19, 2024, the Canadian Securities Administrators (CSA) announced it is seeking feedback on proposed changes to implement an access model for annual financial statements, interim reports and related management’s...more
Back in February, in ISS v. SEC, the D.C. Federal District Court vacated the SEC’s 2020 rule that advice from proxy advisory firms was a “solicitation” under the proxy rules. Both the SEC and National Association of...more
The European Financial Reporting Advisory Group (EFRAG) is in the process of finalizing its draft sustainability reporting standards for non-EU parent companies (NESRS), which will shortly be subject to public consultation....more
As of June 1, 2024, FINRA member firms have been able to identify as a “Residential Supervisory Location” (RSL) a “private residence from which an associated person engages in supervisory functions,” so long as certain...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Accounting fraud charges for allegedly concealing costs; ...more
We are pleased to share the November 2024 issue of Wilson Sonsini's Sustainability and ESG Advisory Practice Update. Each issue combines news, key legal developments, and resources related to sustainability and environmental,...more
As an update to our previous blog posts, Greater Flexibility for Reporting Issuers: Access Equals Delivery and CSA Seeks Comments on “Access Equals Delivery” Model for Prospectuses, Financial Statements and MD&A, the Canadian...more
EXECUTIVE SUMMARY - Fund sponsors may offer their employees and other investment professionals an opportunity to invest in its funds through a co-investment program, which a lender may partially finance....more
The Public Company Accounting Oversight Board (PCAOB) delayed the adoption of a final rule with respect to its June 2023 proposal (Proposal) to increase auditors’ responsibility to evaluate and disclose a public company’s...more
On November 11, 2024, the Financial Reporting Council (FRC) published a consultation on proposed revisions to the UK Stewardship Code 2020 (the Code). The FRC recently published a consultation on proposed revisions to the...more
Our latest report delves into the key trends and noticeable events that have shaped the dynamic Dutch public M&A landscape from January 1, 2023 to November 12, 2024. Key trends we want to highlight are: 1. Low deal...more
High yield bond issuance in the US and Europe has made strong gains as issuers return to the market to refinance at more attractive rates - High yield bond markets in the US and Europe made strong gains through the first...more
On November 14, 2024, the UK government unveiled its National Payments Vision (the Vision), a strategy designed to reshape the UK’s payments ecosystem. This Vision responds to the findings of the 2023 Future of Payments...more
After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more
Beginning December 18, Schedules 13D and 13G must be filed using an XML-based language. Filers will have the option of (1) using a fillable web form that converts inputted disclosures into 13D/13G-specific XML or (2)...more
A few weeks back the U.S. Financial Crimes Enforcement Network (FinCEN) published a bulletin urging financial firms to do better at identifying deepfakes that fraudsters might use to evade customer due diligence programs. The...more
After a three-year crackdown on the use of “ephemeral” electronic messaging platforms by the United States Securities and Exchange Commission (“SEC”) under Chair Gary Gensler, early indications are that the incoming Trump...more
In the final part of the Compliance Lessons from Venice series, we focus on one of Venice’s earliest tools for addressing misconduct: a reporting system predating modern whistleblower programs. Known as the Lion’s Mouth, this...more
After hearing argument earlier this month in a widely followed securities law case concerning risk-factor disclosures of public companies, the U.S. Supreme Court last week decided it should not have agreed to hear the case...more
The Securities and Exchange Commission (SEC) recently announced that United Parcel Service Inc. (UPS) has agreed to pay a $45 million penalty for materially misrepresenting its earnings by improperly valuing its UPS Freight...more
On 8 July 2024, the European Commission Delegated Regulation (EU) 2024/17001 entered into force, providing long-awaited regulatory technical standards (RTS) as mandated under Articles 22(6) and 26d(6) of the EU Securitisation...more
On October 21, 2024, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) released its examination priorities for 2025 (the “2025 SEC Examination Priorities”). The Division will...more
In November 2023, the SEC approved new Nasdaq listing standards related to notification and disclosure of reverse stock splits. (See this PubCo post.) The rules were designed to “enhance the ability for market participants to...more
