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Mayer Brown

The Future of Anti-Corruption Enforcement: Potentially Increasing State and Non-US Prosecutions as an Alternative to the FCPA

Mayer Brown on

On February 10, 2025, President Donald Trump signed an executive order instructing the United States Department of Justice (“DOJ”) to pause enforcement of the Foreign Corrupt Practices Act (“FCPA”) for a period of 180 days....more

Shook, Hardy & Bacon L.L.P.

Developments in Delaware Corporate Law

On March 25, 2025, Delaware Gov. Matt Meyer signed amendments to the Delaware General Corporation Law (DGCL), introducing notable changes to Sections 144 and 220 of the DGCL. These amendments took immediate effect and may...more

DLA Piper

DOJ and SEC Send Warning on “AI Washing” with Charges Against Technology Startup Founder

DLA Piper on

The US Department of Justice (DOJ) announced a criminal indictment and the Securities and Exchange Commission (SEC) announced a civil complaint against the founder and former CEO of an e-commerce technology startup. DOJ and...more

K&L Gates LLP

Brussels Regulatory Brief: March 2025

K&L Gates LLP on

Antitrust and Competition - European Commission Launches Evaluation of the Geo-Blocking Regulation - On 11 February 2025, the European Commission launched a call for evidence to seek stakeholders’ views on the Geo-Blocking...more

A&O Shearman

Great Fund Insights: Co-Investing 101: shared risk, shared reward

A&O Shearman on

A challenging fundraising environment, the rise in M&A activity and the capital requirements necessary to bridge funding gaps are key developments which have led fund managers to increase their offering of co-investment...more

Akin Gump Strauss Hauer & Feld LLP

SEC Staff Provides Disclosure Guidance for Crypto Asset Offerings, Registrations

On April 10, 2025, the staff of the SEC’s Division of Corporation Finance (the “Staff”) published a statement providing its views about the application of certain disclosure requirements under the federal securities laws to...more

Troutman Pepper Locke

First Circuit Questions Materiality in SEC's Case Against Commonwealth Equity Services

Troutman Pepper Locke on

On April 1, the U.S. Court of Appeals for the First Circuit vacated a summary judgment ruling in favor of the Securities and Exchange Commission (SEC) against Commonwealth Equity Services, LLC, also known as Commonwealth...more

Hogan Lovells

ESMA consults on private templates for Securitisation Disclosure – more haste, less speed

Hogan Lovells on

The ESMA Consultation comes at an interesting time when the possibility of streamlining template reporting is being considered as part of the wider review of the European Securitisation Regulation (EUSR) and as considered...more

Paul Hastings LLP

Daily Financial Regulation Update -- Thursday, April 17, 2025

Paul Hastings LLP on

April 16, 2025 - The U.S. Department of the Treasury released Treasury International Capital (TIC) data for February 2025. The next release, which will report on data for March 2025, is scheduled for May 16, 2025....more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 37

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Woodruff Sawyer

Whiplash: The (Brief and Tragic?) Life of the SEC’s Cyber Disclosure Rules

Woodruff Sawyer on

In 2023 and 2024, our public company clients were focused on complying with the SEC’s cyber disclosure rules—and on the risk from big, high-profile government enforcement actions like the SolarWinds case. But with a new SEC...more

Hogan Lovells

UK regulators give update on timing of ESG regulatory initiatives

Hogan Lovells on

A new edition of the Regulatory Initiatives Grid, which sets out details of current and planned regulatory initiatives for all the regulators affecting the financial services sector, has been published. It includes details of...more

Miller Nash LLP

FCPA Update: Enforcement Landscape Shifts Under New Executive Order

Miller Nash LLP on

As a follow-up to our previous article, "To Tariff, or Not to Tariff?", President Trump issued an Executive Order on February 10, 2025, directing the Attorney General to review the current guidelines and enforcement policies...more

Ropes & Gray LLP

SEC Crypto Roundtables Illuminate Regulatory Path for Digital Assets and Trading Platforms

Ropes & Gray LLP on

On April 10, 2025, the SEC’s newly formed Crypto Task Force held the second of its promised series of roundtables in the SEC’s “Spring Sprint Toward Crypto Clarity” initiative. Titled “Between a Block and a Hard Place:...more

Sheppard Mullin Richter & Hampton LLP

Fourth Circuit Rejects the Use of Short-Seller Report as a Basis for Satisfying Loss Causation Element in Securities Fraud Action

The United States Court of Appeals for the Fourth Circuit recently joined a growing consensus among federal appellate courts: short-seller reports, without more, rarely suffice to plead loss causation under the federal...more

Thomas Fox - Compliance Evangelist

Innovation in Compliance: The Strength Trap: When Being the Strong One Starts Breaking You – Part 3: Mastering Stress...

Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: April 17, 2025, The Musk Fights BEE's 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 morning coffee, and listen to the Daily Compliance News. All, from the...more

Davis Wright Tremaine LLP

CFTC Eliminates PTMMM Disclosure Requirements for Swap Entities

On April 4, 2025, the CFTC's Division of Market Participants issued No-Action Letter 25-09 regarding the controversial Pre-Trade Mid-Market Mark ("PTMMM") requirements in CFTC Regulation 23.431, effectively eliminating the...more

Harris Beach Murtha PLLC

SEC Enforcement Action in SDNY Highlights Risks for AI Companies

On April 9, 2025, the Securities and Exchange Commission (SEC) filed a complaint in the U.S. District Court for the Southern District of New York against Alberto Saniger Mantinan, the founder and CEO of Nate, Inc. The SEC...more

Walkers

Irish Quarterly Legal and Regulatory Report: Asset Management and Investment Funds January - March 2025

Walkers on

Welcome to the January - March 2025 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter, such...more

Proskauer - Regulatory & Compliance

AIFMD 2.0 – Draft RTS and Final Guidelines Published on Liquidity Management Tools

On 15 April 2025, the European Securities and Markets Authority (“ESMA”) published draft regulatory technical standards (the “Draft RTS”) and final guidelines (the “Guidelines”) on Liquidity Management Tools (“LMTs”), as...more

Wiley Rein LLP

[Podcast] From DOJ to Private Practice with Albert "BJ" Stieglitz

Wiley Rein LLP on

Join host Kevin Muhlendorf for an insightful conversation with Albert "BJ" Stieglitz, a former federal prosecutor with unique cross-border expertise. In this episode, BJ shares his experiences from his time at the UK Serious...more

Allen Matkins

Fidelity National Financial, Inc. Takes Another Run On Nevada Move

Allen Matkins on

Last year, I reported that the stockholders of Fidelity National Financial, Inc. had failed to approve a proposal to convert the corporation from a Delaware to a Nevada corporation.  The company has not given up on the...more

A&O Shearman

EMIR 3: ESMA proposes clearing thresholds

A&O Shearman on

The European Securities and Markets Authority (ESMA) has published a consultation paper setting out draft regulatory technical standards (RTS) amending the RTS on the clearing thresholds (CTs) under the European Markets...more

A&O Shearman

New FCA work programme for 2025/26

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published its work programme for 2025/26, alongside a press release summarising its approach to supporting the testing of innovative products and new firms. The work programme sets...more

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