News & Analysis as of

Securities law-news General Business

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
WilmerHale

ISS Updates Governance QualityScore and Announces Data Verification Period

WilmerHale on

ISS ESG, the sustainable investment arm of Institutional Shareholder Services (ISS), recently released methodology updates to its Governance QualityScore. These updates are part of a comprehensive expansion of Governance...more

Morgan Lewis

The Lowdown on IPOs: Key Takeaways for Founders & Investors in High Growth Companies

Morgan Lewis on

In the context of a global economic slowdown, heightened market volatility, geopolitical changes, and adjustments in monetary policy, the global initial public offering (IPO) market in Q3 2024 warrants a sense of cautious...more

Katten Muchin Rosenman LLP

Tenth Circuit Court of Appeals Affirms Dismissal of Putative Securities Class Action Brought by Short Seller

On October 15, 2024, the United States Court of Appeals for the Tenth Circuit affirmed the dismissal of a putative securities class action against online retailer Overstock.com (“Overstock” or the “Company”) and certain of...more

A&O Shearman

European Securities and Markets Authority Consultation on Technical Advice under the Prospectus Regulation and Call for Evidence

A&O Shearman on

The European Securities and Markets Authority has published a consultation paper on draft technical advice under the EU Prospectus Regulation and a call for evidence on prospectus liability. The consultation recommendations...more

Troutman Pepper

Troutman Pepper Weekly Consumer Financial Services Newsletter - November 2024

Troutman Pepper on

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

Carey Olsen

British Virgin Islands comparison of open-ended funds

Carey Olsen on

In this guide we compare the five types of open-ended funds in the British Virgin Islands (the “BVI”), being private funds, professional funds, public funds, incubator funds and approved funds (this guide does not cover...more

Morgan Lewis - All Things FinReg

SEC Charges Crypto Market Maker as Unregistered Dealer

The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section...more

Cooley LLP

What happens when amplified SEC litigation challenges meet budget constraints?

Cooley LLP on

Annually, the SEC’s Office of Inspector General offers its “independent perspective” on the “top management and performance challenges” facing the SEC. What stands out in the 2024 Inspector General’s Statement on the SEC’s...more

Ropes & Gray LLP

A Second Trump Administration: Implications for Asset Managers

Ropes & Gray LLP on

On Wednesday, November 6, 2024, major media outlets announced Donald J. Trump as the winner of the 2024 U.S. presidential election. This alert discusses the potential impact of Mr. Trump’s election on the U.S. Securities and...more

Wilson Sonsini Goodrich & Rosati

ISS Peer Group Submission Window Opens November 11

On November 4, 2024, ISS Governance (ISS) announced the scheduled November 11, 2024, opening of its peer group submission window for U.S. and Canadian corporations with annual meetings slated to be held between February 1,...more

Proskauer - Employee Benefits & Executive...

ISS Issues October 2024 Update to its Executive Compensation Policies FAQs

In October, Institutional Shareholder Services (“ISS”) released an off-cycle update to its Executive Compensation Policies Frequently Asked Questions (the “FAQs”), which are available at this link: ...more

Seward & Kissel LLP

SEC Charges Investment Company, CEO and Board Member for Alleged Misleading Statements Regarding Use of Artificial Intelligence

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Boards of Directors; Compliance Staff; Registered Investment Advisers - Quick Take: The SEC recently settled charges against a registered investment adviser (Adviser)...more

Thomas Fox - Compliance Evangelist

Great Women in Compliance – Episode 248 – GWIC x Everything Compliance

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights. GWIC goes in a different direction today with a cross-post with Everything Compliance. Welcome to...more

Proskauer Rose LLP

Regulation Round Up - October 2024

Proskauer Rose LLP on

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Using Culture Audits to Strengthen Your Compliance 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

Thomas Fox - Compliance Evangelist

Daily Compliance News: November 6, 2024 – The Post-Election 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

Thomas Fox - Compliance Evangelist

Compliance into the Weeds: Risk-Based Compliance Lessons from a Young Entrepreneur’s Ice Cream Stand

The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Are you looking for some...more

K&L Gates LLP

Significant Changes on the Way for AML Reporting Entities

K&L Gates LLP on

The Attorney-General has introduced the Anti-Money Laundering and Counter-Terrorism Financing Amendment Bill 2024 (the Bill) to address regulatory “gaps” in Australia’s existing Anti-Money Laundering and Counter-Terrorism...more

Alston & Bird

SEC’s 2025 Examination Priorities: Continued Focus on Private Funds and Cybersecurity

Alston & Bird on

Our Investment Funds and White Collar, Government & Internal Investigations Groups discuss what investment fund advisers and broker-dealers should know about the Securities and Exchange Commission’s Division of Examinations’...more

Goodwin

2025 SEC Exam Priorities for Investment Advisers and Registered Investment Companies

Goodwin on

On October 21, the Securities and Exchange Commission’s (SEC’s) Division of Examinations (Division) released its examination priorities for 2025, outlining the key topics the Division plans to focus on in the upcoming fiscal...more

Cooley LLP

What Does a Shareholder Engagement Program Look Like?

Cooley LLP on

Continuing on with our “shareholder engagement” series of blogs, you need an organized set of engagement procedures with priorities and the ability to call on internal cross-department coordination – and director...more

Jones Day

United States Supreme Court to Hear Two Securities Cases This Term

Jones Day on

The Supreme Court is set to hear arguments in two cases concerning the pleading standard in securities fraud class actions....more

Wilson Sonsini Goodrich & Rosati

Are Public Companies Required to Comply with the U.S. Corporate Transparency Act?

As we have previously reported on January 1, 2024, the new Beneficial Ownership Information (BOI) reporting requirements under the U.S. Corporate Transparency Act (CTA) came into effect. These reporting obligations require...more

Woodruff Sawyer

SEC's Fall Festival: Lessons for Financial Services Companies

Woodruff Sawyer on

Every year, autumn brings hayrides, changing leaves, family gatherings, sweater weather, the chance to savor a cup of black tea by a roaring fire—and a raft of Securities and Exchange Commission (SEC) enforcement actions as...more

Venable LLP

Protecting REITs under Maryland Law

Venable LLP on

Over the past decade, Maryland-incorporated real estate investment trusts ("REITs") have been under increasing pressure to eliminate or reduce defenses against unsolicited takeovers. Boards have been declassified, directors...more

58,261 Results
 / 
View per page
Page: of 2,331

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide