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Mayer Brown

ESMA publishes Consultation Paper on draft technical advice concerning the amended Prospectus Regulation as part of the Listing...

Mayer Brown on

On October 8, 2024, the EU Council adopted the Listing Act – a regulation amending the Prospectus Regulation (EU) 2017/1129 –  which was first proposed in December 2022 and then subjected to several rounds of negotiations....more

Cadwalader, Wickersham & Taft LLP

Dawn of the Securitization Era, November 2024 - A Primer on Capital Call Securitization

Securitization has been a major focus in the fund finance industry as of late. Due to a confluence of factors, some of which are specific to fund finance, and some of which are features of the broader economic environment, it...more

Troutman Pepper

The SEC’s Division of Examinations Announces 2025 Priorities

Troutman Pepper on

On October 21, the Securities and Exchange Commission’s (SEC) Division of Examinations announced its 2025 examination priorities (2025 guidance) for registered investment advisers and investment companies, broker-dealers,...more

Goodwin

Horizon Scan for Private Investment Funds - Autumn 2024

Goodwin on

Welcome to the third edition of our Horizon Scan for 2024: key recent and expected funds, regulatory and tax developments to look out for. As before, we focus on the most important developments and changes that we expect...more

Polsinelli

Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: October 31, 2024

Polsinelli on

It’s fitting that our second October Web3 legal update arrives on Halloween, as many in the industry might find the current legal landscape for digital asset products and services quite spooky. While the past few weeks have...more

Seward & Kissel LLP

SEC Division of Examinations Releases its 2025 Examination Priorities

Seward & Kissel LLP on

The staff of the SEC Division of Examinations (Staff) recently released its 2025 examination priorities. The timing of the release aligns with the start of the SEC’s fiscal year to provide transparency and inform participants...more

A&O Shearman

Financial Stability Board Report on Lessons from March 2023 Banking Turmoil

A&O Shearman on

The Financial Stability Board has published a report on depositor behaviour and interest rate and liquidity risks in the financial system. The report draws on lessons from the March 2023 banking turmoil which saw the collapse...more

Walkers

A Guide to debt securities issuers in Jersey

Walkers on

Jersey is a well-established jurisdiction of choice for issuing debt securities in international finance transactions. Recently, we have seen a steady increase in interest in Jersey debt securities issuers either for a...more

Snell & Wilmer

ISS Issues Guidance on “Robust” Clawback Policies

Snell & Wilmer on

On October 11, 2024, Institutional Shareholder Services Inc. (“ISS”), a leading proxy advisory firm, updated their Equity Compensation Policies Frequently Asked Questions (“FAQs”) to define what it means for a clawback policy...more

Proskauer Rose LLP

Deadline Approaches: FinCEN’s Rules for Beneficial Ownership Reporting under the Corporate Transparency Act

Proskauer Rose LLP on

The Corporate Transparency Act (the “CTA”) requires a range of entities, primarily smaller, otherwise unregulated companies, to file a report with the U.S. Department of the Treasury’s Financial Crimes Enforcement Network...more

Ropes & Gray LLP

California Law for Asset Managers: Navigating Noncompete Statutes & Workplace Violence Prevention Plans

Ropes & Gray LLP on

On this episode of Ropes & Gray’s California Law for Asset Managers podcast series, asset management partner Catherine Skulan and employment partners Greg Demers, Richard Kidd and associate Patrick Maher, discuss recent...more

Cooley LLP

SFC and HKEX Release Joint Statement on Enhanced Time Frame for New Listing Application Process

Cooley LLP on

Key points/Q&A Over the years, the Securities and Futures Commission (SFC) and the Stock Exchange of Hong Kong Limited (HKEX) have made continuous efforts to enhance the application process for new listing applications,...more

Cooley LLP

Challenges in Meeting 2030 Climate Goals? What To Do Now

Cooley LLP on

I was talking to Cooley’s Beth Sasfai and Michael Mencher about the challenges many companies are facing with ambitious climate goals that no longer seem realistic. Here’s what Beth and Michael told me (also see them in this...more

Morgan Lewis

Compliance Alert: SEC’s 2025 Examination Priorities

Morgan Lewis on

The US Securities and Exchange Commission’s (SEC’s) Division of Examinations released its annual report of examination priorities on October 21, 2024 (the Exam Priorities). The annual Exam Priorities report, which is designed...more

Ropes & Gray LLP

SEC Announces Settlements with Four Issuers regarding Cybersecurity Disclosures

Ropes & Gray LLP on

On October 22, 2024, the Securities and Exchange Commission (“SEC”) filed settled enforcement orders involving four current and former public companies – Unisys Corp., Avaya Holdings Corp., Check Point Software Ltd, and...more

Sherman & Howard L.L.C.

Court Imposes No Monetary Penalty in SEC Case Against City of Rochester, New York & Its Former Finance Director

On Oct. 16, 2024, the Western District of New York entered final judgment on a Securities and Exchange Commission (SEC) enforcement action against the City of Rochester, New York, its former Finance Director, and their...more

A&O Shearman

UK Critical Benchmarks Regulations 2024 Published

A&O Shearman on

The Critical Benchmarks Regulations 2024 have been published, together with an explanatory memorandum. The Regulations come into force on November 13, 2024. The instrument specifies two benchmarks, the WMR Closing Spot Rates...more

K&L Gates LLP

ASIC Enforcement for Sustainability Reporting Will be Different to Greenwashing

K&L Gates LLP on

When assessing how to comply with the new reporting obligations, reporting entities should recognise the differences in the enforcement approach that ASIC will take in relation to mandatory climate reporting compared with the...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 40 — The Celebration of Corporate Compliance Week 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

Society of Corporate Compliance and Ethics...

The SEC’s cybersecurity and disclosure rules: The questions compliance pros still have

The U.S. Securities and Exchange Commission (SEC) Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure rules officially went into effect in December 2023. Aimed at improving cybersecurity risk...more

Mintz - Energy & Sustainability Viewpoints

Energy & Sustainability Litigation Updates — November 2024

Despite the recent disbandment of the SEC’s Climate & ESG Task Force, the SEC is continuing to pursue enforcement actions concerning environmental issues, including greenwashing. Notably, over the past several weeks, the SEC...more

Kohn, Kohn & Colapinto LLP

Whistleblowers are Key to CFTC’s Priority of Combating Voluntary Carbon Market Fraud

Voluntary Carbon Markets (“VCMs”) are touted as a promising solution to rising global carbon emissions. They have the potential to strengthen climate technology and promote projects that reduce carbon dioxide emissions and...more

Thomas Fox - Compliance Evangelist

Career Can Do: Unlocking Gen Z’s Potential at Work with Linda Perry

In this episode of Career Can Do, Mary Ann Faremouth and mindset coach, Linda Perry, dive into the unique strengths and challenges of Gen Z as they enter today’s workforce. Linda, a former attorney turned coach,...more

Thomas Fox - Compliance Evangelist

Fox on Podcasting: Mastering Business Podcasting at The Podcasting for Business Conference

Join Tom Fox as he explores the world of podcasting and get ready to be inspired to start your own podcast. In this episode, Tom sits down with Megan Dougherty for an in-depth discussion on leveraging podcasting as a...more

Thomas Fox - Compliance Evangelist

12 O’Clock High, a podcast on business leadership – Evolving Supply Chain Risks and Strategic Adjustments Post – COVID with James...

In this engaging episode, Tom Fox welcomes back James Gellert, Executive Chairman of RapidRatings and Chair of Advisory Board at LogicSource. They are to discuss the evolution of supply chain risk management post-COVID....more

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