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Smith Gambrell Russell

Not so Mandatory Arbitration: SEC’s Investor Advisory Committee Examines Regulatory Changes for Registered Investment Advisors

Smith Gambrell Russell on

Introduction On December 10, 2024, the Securities and Exchange Commission’s Investor Advisory Committee hosted a panel to examine the use of mandatory arbitration clauses among SEC-Registered Investment Advisers. The panel...more

Thomas Fox - Compliance Evangelist

All Things Investigations: FCPA Alert Week Sam Salyer on Highlights and Trends from the 2024 FCPA Alert

Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast All Things Investigation. This week, we will feature five lawyers from HHR to introduce the firm’s always popular and annual...more

Mintz

Fifth Circuit Strikes Down Nasdaq “Show or Tell” Diversity Rules

Mintz on

On December 11, 2024, the Fifth Circuit, in a divided opinion following an en banc hearing, struck down the Nasdaq “show or tell” diversity rules. The Court concluded that the rules, some of which the majority described as a...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Using AI for Continuous Monitoring

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

Presidential Leadership Lessons- The Rise and Presidency of Calvin Coolidge: An American Success Story

Who are our greatest Presidents? What lessons can the modern-day business leader learn from our 46 Chiefs of State? Welcome to a new season of this award-winning podcast series with Tom Fox and Richard Lummis to delve into...more

Thomas Fox - Compliance Evangelist

Creativity and Compliance – Innovative Compliance Strategies with Jim Webb

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

K&L Gates LLP

Final Rule on Outbound Investments: Implications for Limited Partner Investments

K&L Gates LLP on

Introduction - On 28 October 2024, the US Treasury Department issued a Final Rule implementing the Outbound Investment Program (OIP) under Executive Order 14105, which safeguards US national security by limiting investments...more

Morris, Manning & Martin, LLP

Securities & Corporate Governance Q4 2024 Quarterly Newsletter

Morris, Manning & Martin, LLP’s Securities & Corporate Governance Quarterly Newsletter is designed to update public and private company clients on recent developments in federal securities laws and corporate governance...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: December 13, 2024 - The Token Fine Edition

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

Stikeman Elliott LLP

OSC Proposes New Long-Term Asset Fund for Retail Investors

Stikeman Elliott LLP on

The Ontario Securities Commission (“OSC”) published for comment a proposed framework (the “Proposal”) to facilitate retail investment in illiquid Long-Term Assets (as defined below) through a new type of prospectus-qualified...more

Mayer Brown

Tips for New Fund Finance Professionals

Mayer Brown on

EXECUTIVE SUMMARY - In this Legal Update, we provide suggestions for junior finance professionals new to the fund finance market and offer practical suggestions for beginning their careers with a solid foundation....more

Holland & Knight LLP

3 French Hens? No. SEC Presses Enforcement on Insider Trading, Shadow Trading, Reg FD

Holland & Knight LLP on

The SEC did not take its foot off the pedal in fiscal year (FY) 2024 when it came to prosecuting insider trading. In the third installment of Season's Readings, we consider several recent actions in which the agency secured...more

Blake, Cassels & Graydon LLP

Interdiction d’opérations visant le régime de droits de Bitfarm : le Tribunal des marchés financiers publie ses motifs

Le Tribunal des marchés financiers de l’Ontario (le « Tribunal ») a publié les motifs qui ont motivé sa décision en juillet 2024 d’interdire les opérations à l’égard du régime de droits des actionnaires adopté par Bitfarm...more

Cooley LLP

En banc Fifth Circuit puts the kibosh on the Nasdaq board diversity rules

Cooley LLP on

In August 2021, the SEC approved a Nasdaq proposal for new listing rules regarding board diversity and disclosure, accompanied by a proposal to provide free access to a board recruiting service. The new listing rules adopted...more

McDermott Will & Emery

The EU Corporate Sustainability Reporting Directive: What Non-EU Multinational Companies Need to Know

McDermott Will & Emery on

Although political sentiment against mandatory sustainability reporting by business entities has grown in Europe (similar to the anti-ESG backlash in the United States), the European Commission (EC) has not backed down. On...more

A&O Shearman

The Markets in Financial Instruments (Equivalence) (Singapore) Regulations 2024

A&O Shearman on

The Markets in Financial Instruments (Equivalence) (Singapore) Regulations 2024 have been published, together with an explanatory memorandum and de minimis assessment. The Regulations set out HM Treasury's determination that...more

Robinson Bradshaw

Takeaways from ILPA’s NAV Loan Guidance

Robinson Bradshaw on

The differing waiver rules governing the fragile attorney-client privilege and the robust work product doctrine protection predictably create stark differences when family members communicate with each other. This type of...more

Sullivan & Worcester

Nasdaq Board Diversity Rule Struck Down by Federal Court

Sullivan & Worcester on

Yesterday, the U.S. Court of Appeals for the Fifth Circuit vacated the SEC’s approval of Nasdaq’s board diversity disclosure rules. While the SEC has not yet indicated if it will appeal,...more

A&O Shearman

UK Financial Conduct Authority Begins Process of Appointing a UK Bond Consolidated Tape Provider

A&O Shearman on

The U.K. Financial Conduct Authority has announced that it is starting the process of appointing a bond consolidated tape (CT) provider. It has published a concession notice that sets out the FCA's next steps for running the...more

A&O Shearman

UK Financial Conduct Authority Publishes Short Selling Update

A&O Shearman on

The U.K. Financial Conduct Authority has provided an update on the notification and disclosure of net short positions. Firstly, the FCA is currently undertaking its biannual review of the U.K. List of Exempted Shares, which...more

White & Case LLP

Insider Trading Policies: A Survey of Recent Filings

White & Case LLP on

White & Case's Public Company Advisory Group has conducted a survey of publicly filed insider trading policies to assess emerging trends with respect to key insider trading policy terms. Starting with Form 10-K/20-F annual...more

A&O Shearman

European Supervisory Authorities Urge Financial Entities to Ensure Timely Compliance with EU Digital Operational Resilience Act

A&O Shearman on

The European Supervisory Authorities have published a joint statement on the application of the EU Digital Operational Resilience Act. The ESAs emphasise that as DORA does not provide for a transitional period, it is...more

A&O Shearman

MiCAR under the microscope - Part 6: Acquisition of qualifying holdings of casps and art issuers

A&O Shearman on

The Regulation (EU) 2023/1114 on Markets in Crypto-assets (MiCAR) has further expanded the panel of regulated entities by introducing the regulatory status of Issuers of Asset Reference Tokens (ART Issuers) and crypto-asset...more

Cooley LLP

Public Companies Update - November One-Minute Reads

Cooley LLP on

SEC charges four companies with misleading cyber disclosures - Resulting from an investigation involving public companies potentially impacted by the compromise of SolarWinds’ Orion software and other related activity,...more

Skadden, Arps, Slate, Meagher & Flom LLP

A 2025 Revival for UK Capital Markets?

Since the announcement of the UK government’s Edinburgh reforms to financial services in December 2022, which set out a large number of proposals aimed at making London the “world’s most innovative and competitive global...more

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