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Katten Muchin Rosenman LLP

SEC Issues Updated "Names Rule" FAQ

On January 8, 2025, the Securities and Exchange Commission's (SEC) Division of Investment Management (Division) issued responses to certain frequently asked questions (FAQ) to the SEC's 2023 adoption of amendments...more

Proskauer Rose LLP

Wealth Management Update - February 2025

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February 2025 Interest Rates for GRATs, Sales to Defective Grantor Trusts, Intra-Family Loans and Split Interest Charitable Trusts - The February applicable federal rate (“AFR”) for use with a sale to a defective grantor...more

Davis Wright Tremaine LLP

New Administration Outlook: A Possible Roadmap to What's Ahead for the CFTC Under New Leadership

On January 20, 2025, the Commodity Futures Trading Commission ("CFTC") unanimously elected Commissioner Caroline D. Pham as acting chairman. The Administration has not yet identified who will be nominated for the position of...more

Dechert LLP

Addressing Questions Under the Amended Registered Fund Names Rule

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Recent amendments to Rule 35d-1 under the Investment Company Act of 1940 —commonly known as the “Names Rule” — broaden the scope of terms in fund names subject to the rule, impose enhanced disclosure and compliance...more

Carlton Fields

SEC 2025 Examination Priorities Shine Light on AI

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Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more

ArentFox Schiff

The End of LIBOR: Hotel California Edition [Part II]

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On October 1, 2024, the United Kingdom Financial Conduct Authority (UK FCA) phased out ‘Zombie’ LIBOR, as a transitional benchmark, with the move to alternative “risk-free” rates....more

Dechert LLP

ICLG – Environmental, Social & Governance Law 2025

Dechert LLP on

The role of sustainability factors in the operations and investment management activities of asset managers has long been a subject of discussion and, in some jurisdictions, controversy. In recent years, however, the...more

Seward & Kissel LLP

Don’t Expect “Mama Government” to Bail You Out

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According to reports, more than 50 lawyers and staffers in the SEC’s Crypto Assets and Cyber Unit have been reassigned to other roles in the agency....more

Allen Matkins

Is Pareto Optimality The Answer For Controlling Stockholder Transactions?

Allen Matkins on

Yesterday's post concerned the Delaware Supreme Court's decision that the business judgment rule applied to TripAdvisor's decision to reincorporate in Nevada.  Maffei v. Palkon, 2025 WL 384054 (Del. Feb. 4, 2025).  This...more

Thomas Fox - Compliance Evangelist

Everything Compliance: The Q1- 2025, Great Women in Compliance Edition

A few months ago, we had a Special Edition of Everything Compliance with the two primary hosts of the Great Women in Compliance, Lisa Fine and Hemma Lomax, together with our female panelists from Everything Compliance, Karen...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: AI and Compliance Training

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

Life With GDPR: Navigating CCO and CISO Liability Trends

Tom Fox and Jonathan Armstrong, renowned experts in cyber security, co-host the award-winning Life with GDPR. This episode discusses the complex topic of liability for the Chief Compliance Officer (CCO) and Chief Information...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: February 6, 2025, The Reassigned to IT 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 in to the Daily Compliance...more

Cooley LLP

Under the new Administration, will Enforcement have a lighter touch?

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Reuters is reporting exclusively that, according to its sources, under the new Administration, some Enforcement staff at the SEC “have been told they need to seek permission from the politically appointed leadership before...more

Morrison & Foerster LLP

Extended Compliance Date for Recent Form PF Amendments

The new year always marks the start of a busy regulatory filing season for registered investment advisers, including investment advisers that file Form PF (“Form PF Filers”). This year could be especially challenging since,...more

Vedder Price

Third Set of Form PF Amendments Take Effect on June 12, 2025

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On February 8, 2024, the SEC adopted its third set of amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments specifically affect Sections 1 and 2...more

Akin Gump Strauss Hauer & Feld LLP

Crypto Course Correction at the SEC

Yesterday, February 4, 2025, SEC Commissioner Hester Peirce shared her first policy statement since being charged with leading the Commission’s new Crypto Task Force. It will come as no surprise that her statement is nothing...more

DLA Piper

SEC Climate Disclosure Rules: Four Potential Paths Under President Trump

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The US Securities and Exchange Commission (SEC) adopted landmark final rules (Climate Disclosure Rules, or Rules) in March 2024 intended to enhance and standardize climate-related disclosures for publicly listed companies....more

BCLP

UK Corporate Briefing - February 2025

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Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about....more

Baker Botts L.L.P.

Delaware Supreme Court Confirms “Potential” Control is Not Enough to Find Actual Control

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In an opinion late last month, the Delaware Supreme Court brought a close to the long-running shareholder litigation regarding Oracle’s 2016 purchase of NetSuite. The decision provides instruction for how significant minority...more

Paul Hastings LLP

SEC Reportedly Requiring Enforcement Staff to Seek Commission Approval for Formal Orders of Investigation

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On February 2, media outlets reported that the Securities and Exchange Commission (SEC or Commission) has told SEC Enforcement attorneys that they need the approval of the agency’s commissioners for all formal orders of...more

BCLP

Don’t Forget Accounting Rules When Accelerating Vesting of Stock-Based Awards

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Last month, the SEC settled charges against Celsius Holdings, Inc. for allegedly improper accounting when it modified equity compensation awards for six departing employees and retiring directors. The errors caused allegedly...more

Wilson Sonsini Goodrich & Rosati

Focus on Fintech – Q4 2024

In this issue of Wilson Sonsini's Focus on Fintech, our attorneys discuss updates and developments from federal regulators, including those related to artificial intelligence in financial markets, regulated securities...more

Tonkon Torp LLP

What the SEC Amendments to Regulation S-P Mean for Your Business

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On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more

Goodwin

What Is a Private Investment Fund?

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Below we answer some fundamental questions about how private funds work. This broad overview lays the groundwork for our series of private fund explainers that will dive deeper into the economics and legal structure of...more

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