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Lowenstein Sandler LLP

Equity Incentive Plan Considerations for Public Companies

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On this episode of “Just Compensation,” Andrew Graw, Megan Monson, and Jessica I. Kriegsfeld talk about equity plan considerations for public companies. They address various drafting considerations that are specific to public...more

BCLP

SEC Penalizes Late Filings in Broad Enforcement Sweep Using Data Analytics

BCLP on

Last week, the SEC announced settled charges against 23 companies and individuals for failing to timely file Section 16 reports on Forms 3, 4 or 5. Additionally, two public companies were charged for contributing to late...more

Carlton Fields

Outlook Dark for the SEC’s ESG Rule After Loper Bright

Carlton Fields on

For 40 years, the standard of review for agency rulemaking was set forth in the U.S. Supreme Court’s 1984 decision in Chevron U.S.A. Inc. v. Natural Resources Defense Council Inc. Chevron held that when a statute is silent or...more

Moore & Van Allen PLLC

THE DESK: MVA’s Swaps & Derivatives Newsletter

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Our goal is simple, to provide you key updates and insights that you can quickly digest and easily share with your peers, boss, or anyone else that shares a passion for swaps and derivatives news. We know you have to move...more

White & Case LLP

Sector trends - September 2024: Asset/Wealth Management

White & Case LLP on

UK & European Financial Services M&A: Sector Trends H2 2023 | H1 2024 — Asset/Wealth Management - Current market: Consistently high M&A activity levels - We are seeing: Europe's barbell becomes more pronounced—larger...more

Perkins Coie

Does Withholding of Taxes for an RSU Vesting Require Item 703 Disclosure?

Perkins Coie on

Item 703 of Regulation S-K requires, among other things, tabular disclosure of any purchase made by an issuer of shares that are registered under Section 12 of the Exchange Act. In our regular review of 10-K and 10-Q Item 703...more

Conyers

Cayman Islands Funds’ Corporate Governance and Internal Controls Measures

Conyers on

The Cayman Islands Monetary Authority’s (CIMA) Rule on Corporate Governance for Regulated Entities, Statement of Guidance on Corporate Governance for Mutual Funds and Private Funds, and Rule and Statement of Guidance on...more

Thomas Fox - Compliance Evangelist

TechLaw10: Regulatory Change for Social Media

In this film, Punter Southall Law’s Jonathan Armstrong discusses social media with Professor Eric Sinrod from his home in California. This is episode 289 in the popular TechLaw10 series. Jonathan & Eric discuss: 1. The...more

Wilson Sonsini Goodrich & Rosati

FinCEN Finalizes Rule Requiring AML/CFT Programs for Registered Investment Advisers and Exempt Reporting Advisers

On September 4, 2024, the U.S Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) published a final rule that expands the definition of “financial institution” to include Registered Investment Advisers...more

Thomas Fox - Compliance Evangelist

Produce on Purpose Podcast - Protecting Data and Ensuring Compliance with Tom Fox

Tom Fox, an expert in compliance, shares his journey and the importance of compliance in business. He emphasizes that business and work can be a part of one's purpose and that compliance is a business process that can make a...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Leveraging Compensation to Drive 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

Creativity and Compliance: Engaging Compliance – From Training to Values

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and...more

Wilson Sonsini Goodrich & Rosati

Focus on Fintech – Q2 2024

In the latest edition, our attorneys discuss updates and developments from federal regulators, including those related to cryptocurrencies, cybersecurity in financial markets, and the intersection of fintech and AI. They also...more

Proskauer - Regulatory & Compliance

European Commission issues warnings to EU Member States who failed to implement the CSRD  

The deadline for EU member states (‘‘Member States’’) to implement the Corporate Sustainability Reporting Directive (“CSRD”) into national laws was 6 July 2024. Under EU infringement procedures, the European Commission...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 38 – The SCCE Wrap Up Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: October 4, 2024 – CEOs Turning to Podcasts Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All...more

DLA Piper

Second Circuit Rules Bankruptcy Code’s “Safe Harbor” Provision Preempts State Law Fraudulent Transfer Claims

DLA Piper on

On September 19, 2024, the US Court of Appeals for the Second Circuit issued a summary order in which it held that the “safe harbor” provision of Section 546(e) of the Bankruptcy Code preempted a bankruptcy trustee’s state...more

Carlton Fields

Mutual Funds vs. Collective Investment Fund: Equal Investor Protection on the Horizon?

Carlton Fields on

For more than a year, SEC Chair Gary Gensler has, in some public forums, been mentioning concerns about gaps in the regulation of collective investment funds (CIFs), as compared to that of registered open-end investment...more

Mayer Brown

Plus-value de cession de titres réalisée par un particulier : absence d'incidence de l'abandon d’une partie du prix de cession...

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La Cour administrative d’appel de Versailles juge qu’un contribuable qui, par des abandons de créances, a renoncé à percevoir une partie du prix de cession des titres qu’il a cédés ne peut demander une réduction du montant de...more

Troutman Pepper

California Extends Compliance Deadline for Digital Financial Asset Businesses

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On September 29, California Governor Gavin Newsom signed Assembly Bill (AB) 1934 into law, marking a significant update to California’s Digital Financial Assets Law (DFAL). In addition to extending the compliance deadline for...more

Holland & Knight LLP

Impact of the Corporate Transparency Act on Business Aviation and Fast Approaching Deadlines

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The Corporate Transparency Act (CTA) requires certain legal entities to identify their individual Beneficial Owners on a report filed electronically with the U.S. Department of the Treasury's Financial Crimes Enforcement...more

Troutman Pepper

Troutman Pepper Weekly Consumer Financial Services Newsletter - October 2024

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To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more

Goodwin

SEC Rulemaking Returns After Quiet Stretch: Assessing the SEC “Reg. Flex” Agenda for BDs and Exchanges

Goodwin on

Despite the SEC’s already prolific rulemaking under Chair Gensler, the agency still has a few dozen additional rulemaking initiatives in the queue. Broker-dealers, exchanges, and other trading and markets participants can...more

Wolf, Greenfield & Sacks, P.C.

Dan Rudoy Examines the Impact of AI on IP Strategy

Dan Rudoy is a shareholder and executive committee member at Wolf Greenfield. As part of the Electrical & Computer Technologies Practice, Dan works closely with clients developing technology in a wide variety of areas...more

Cooley LLP

California Governor signs legislation tweaking requirements of climate disclosure laws

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California Governor Gavin Newsom has signed into law Senate Bill 219, a bill that tweaks some of the requirements of California’s climate disclosure bills, SB 253, the Climate Corporate Data Accountability Act, and SB 261,...more

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