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Cadwalader, Wickersham & Taft LLP

Business As Usual, October 2024 - The European Union Kicks Off Its Consultation on the Reform of Its Securitisation Framework

The European Commission has produced the first leg of its long awaited consultation on the function of the EU Securitisation Framework ("ESF") in the form of a paper setting out consultation questions....more

Cadwalader, Wickersham & Taft LLP

Conflicts of Interest: Recent UK Action

The UK’s Financial Conduct Authority ("FCA") has recently successfully applied to the Court of Appeal to uphold an earlier decision to impose requirements for redress in relation to conflicts of interest. This decision serves...more

Thomas Fox - Compliance Evangelist

Deere FCPA Enforcement Action: Lessons on Post-Acquisition Integration and Investigation in M&A

We recently had a Foreign Corrupt Practices Act (FCPA) enforcement action that reminded me that everything old is new again in anti-corruption compliance. The Securities and Exchange Commission (SEC) FCPA enforcement action...more

Wiley Rein LLP

DOJ’s Corporate Whistleblower Pilot Program Hits the Ground Running: Is Your Compliance Program Ready?

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The U.S Department of Justice’s (DOJ or Department) Corporate Whistleblower Awards Pilot Program (Pilot Program) has hit the ground running, reportedly triggering more than 100 reports since it went live on August 1, 2024....more

Bass, Berry & Sims PLC

International Trade Enforcement Roundup – September 2024

Bass, Berry & Sims PLC on

What happened? On September 10, the SEC announced that John Deere agreed to pay almost $10 million to resolve allegations it had violated the FCPA. The SEC alleged that Wirtgen Thailand, an indirect subsidiary of John Deere,...more

Carlton Fields

Adviser Loses Customer Crypto: Wallet Key Custody Not Airtight

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On June 25, 2024, a final judgment was entered by a federal district court against investment adviser Lufkin Advisors LLC and its principal, Chauncey Lufkin, for losing access to a crypto wallet used to manage a client’s...more

A&O Shearman

Qatar introduces new digital assets framework

A&O Shearman on

On 1 September 2024, the Qatar Financial Centre (QFC), Qatar’s onshore business and financial centre, published its new Digital Asset Regulations 2024 and accompanying laws, rules and guidelines (the DA Regime). The DA...more

Hogan Lovells

ESG Market Alert - September 2024

Hogan Lovells on

In our latest round-up of developments in ESG for UK clients, we cover the following topics: Shareholder activism continues FCA's green labelling rules – deadline for implementation delayed Environmentalists step on the gas:...more

Thomas Fox - Compliance Evangelist

Regulatory Ramblings: Episode 55 – A Former Singapore Regulator Reflects on the World of Virtual Assets with Angela Ang

In this episode of Regulatory Ramblings, Angela Ang, senior policy advisor at TRM Labs, is a former regulator and blockchain intelligence company. She has spent over a decade at the Monetary Authority of Singapore (MAS),...more

Allen Matkins

Did The FBI Violate The Securities Laws By Directing The Creation Of A Crypto Asset That Was Offered And Sold To The Public?

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Professor Ann Lipton recently wrote about an ingenious scheme developed by the Federal Bureau of Investigation that has resulted in indictments of 18 individuals and entities for alleged fraud and manipulation in the crypto...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Reinforce Whistleblower Policies Through Training and Comms

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

Compliance and AI: Navigating Compliance with AI – Sage Franch and Scott McCleskey on RuleBook AI

What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are but three of the many questions we will explore in this cutting-edge podcast series,...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: October 11, 2024 – The Breaking Up May Be Hard to Do 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 to the Daily Compliance News. All...more

DLA Piper

Argentina Regulates Framework for Private Placements

DLA Piper on

On September 18, 2024, the Argentine Securities and Exchange Commission (CNV) issued Resolution No. 1016 (the Resolution), which regulates the country’s framework for the private placement of securities and cross-border...more

Mayer Brown Free Writings + Perspectives

SEC Charges Company with Misleading Recyclability Claims

In September 2024, the Securities and Exchange Commission charged a consumer products company (the “Company”) with having made inaccurate claims regarding the recyclability of its single-use coffee pods.  The SEC found that...more

Cooley LLP

Out of compliance with NYSE listing standards? Better fork over your unpaid fees

Cooley LLP on

The NYSE has proposed a new rule change: if a company is out of compliance with a continued listing standard and it owes the NYSE any unpaid fees, the NYSE will not review a compliance plan submitted by that company and,...more

Kramer Levin Naftalis & Frankel LLP

The 2024 Election Cycle and the SEC

With the U.S. election cycle in full swing and the presidential election just around the corner, there is speculation on how government regulators could be affected by the outcome. In general, commentators have coalesced...more

Woodruff Sawyer

Close, but No Cigar: Ensuring Accuracy in Public Disclosures

Woodruff Sawyer on

A recent enforcement action by the Securities and Exchange Commission (SEC) highlights the risks companies face when public disclosures may be viewed as misleading or fail to account for updated information....more

Cooley LLP

The SEC Updates Protocols for Your Edgar Accounts

Cooley LLP on

Recently, the SEC adopted rule changes to improve the security of filer EDGAR access, including amending Form ID. As Cydney Posner lays out in her PubCo blog, the rule changes impact companies so that...more

Locke Lord LLP

FUNDamentals: Navigating FinCEN’s ‎New AML Regulations for Investment ‎Advisers

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On August 28, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the “Rule”) that amends the definition of “financial institution” under the Bank Secrecy Act...more

DarrowEverett LLP

The Power of Preferred Stock: A Primer for VC, PE, and Founders

DarrowEverett LLP on

Preferred stock is a key financing instrument in the world of private equity (PE) and venture capital (VC), frequently used to balance the interests of investors and founders. Issued by corporations, preferred stock confers...more

Carlton Fields

Going Up: SEC Cyber Incident Reporting - Regulation S-P Amendments Take It to Next Level

Carlton Fields on

On May 16, 2024, the SEC breathed new life into its decades-old Regulation S-P, which requires firms to adopt policies and procedures for the protection of customer information and records. The amended rule balloons the...more

Fox Rothschild LLP

ESG Essentials: What You Need To Know Now - Episode 17 - The Evolution of ESG Enforcement Under the SEC

Fox Rothschild LLP on

In March 2021, the Securities and Exchange Commission announced with great fanfare the creation of its Climate and ESG Task Force to proactively identify ESG-related misconduct. Three years later, the SEC quietly shuttered...more

Allen Matkins

Yet Another Corporation Proposes Move From Delaware To Nevada

Allen Matkins on

Regular readers of this blog will know that Nevada corporate law has been a long-time interest for me.  That interest began several decades ago when I wrote the first treatise on Nevada corporate law.  That treatise was...more

Seward & Kissel LLP

Continued SEC Enforcement Actions Relating to Off Channel Communications

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Who may be interested: Registered Investment Advisers, Registered Investment Companies, Compliance Staff - Quick Take: The SEC recently announced a number of additional enforcement actions relating to recordkeeping...more

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