News & Analysis as of

Securities law-news Intellectual Property

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
Thomas Fox - Compliance Evangelist

Daily Compliance News: December 6, 2024 – The Boeing Settlement Bounced 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

Thomas Fox - Compliance Evangelist

Classroom Insiders, Season 2: Understanding Injunctions in SEC Cases: Standards and Circuit Differences

Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last...more

Seward & Kissel LLP

SEC Staff Issues Guidance on Tailored Shareholder Reports

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Investment Advisers - Quick Take: The staff of the Division of Investment Management’s Disclosure Review & Accounting Office (Staff) issued an Accounting and...more

Pillsbury Winthrop Shaw Pittman LLP

Disclosure of Non-GAAP Financial Measures: Recent SEC Comments and Enforcement Actions

The U.S. Securities and Exchange Commission (SEC) continues to scrutinize adjustments to, and presentation of, non-GAAP financial measures. Recent SEC enforcement actions for allegedly improper and misleading use of...more

HaystackID

A Transformative Wave: Understanding the EU’s Corporate Sustainability Reporting Directive

HaystackID on

A significant wave of economic and regulatory transformation looms over the business sector as the European Union implements the Corporate Sustainability Reporting Directive (CSRD), marking a fundamental shift in corporate...more

Thomas Fox - Compliance Evangelist

12 O’Clock High, a podcast on business leadership – Jared Connors on Navigating PFAS Regulations, Trade Sanctions, and...

Tom welcomes former colleague Jared Connors to discuss key compliance issues as 2024 comes to a close. Their conversation dives into PFAS regulations, trade sanctions, sustainability reporting, and how businesses need to...more

Thomas Fox - Compliance Evangelist

Presidential Leadership Lessons- Reassessing the Legacy of Warren G. Harding

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

Mayer Brown

EU Listing Act Package Goes Into Effect in Early December

Mayer Brown on

On 14 November 2024, a number of amendments to: the Prospectus Regulation (Regulation (EU) 2017/1129) ("PR");  the Market Abuse Regulation (Regulation (EU) No 596/2014) ("MAR"); and  the Markets in Financial...more

Polsinelli

Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: December 5, 2024

Polsinelli on

The Polsinelli Blockchain+ team took a break from the usual Bi-Weekly updates for the Thanksgiving holiday, but the Web3 legal developments did not. There was a significant ruling out of the 5th Circuit, which has major...more

Cadwalader, Wickersham & Taft LLP

Mo’ Money Mo’ Problems: More on the Changes to the UCC’s Definitions of Money – UCC 9-102(a)(54A) – Part Four

The following article is part four of our series on the 2022 Amendments to the UCC. You can find the previous articles here. Our last article explored the amendments to the main definition of “money” in Article 1 of the UCC....more

Barnea Jaffa Lande & Co.

New Guidelines on Offering and Intermediating Joint Investment Arrangements

The Israel Securities Authority published a position statement recently addressing various issues pertaining to brokerage activities and offerings of joint investment arrangements, including the applicability of the...more

WilmerHale

5 Ways SEC's Crypto Approach Could Change Under Trump

WilmerHale on

The election of Donald Trump as president could have a significant impact on the crypto industry given his campaign promise of a procrypto administration. Trump will be able to appoint a new chair of the U.S. Securities and...more

Steptoe & Johnson PLLC

Pennsylvania Joining the United States in Proposing a Bitcoin Strategic Reserve: Implications for the Energy Industry

Steptoe & Johnson PLLC on

On November 19, Pennsylvania Representative Mike Cabell (R-117) introduced legislation to form the Pennsylvania Bitcoin Strategic Reserve, aiming to diversify the state’s financial holdings by allocating up to 10% of its...more

Torres Trade Law, PLLC

Identities of Investment Fund Limited Partners in CFIUS Reviews

Torres Trade Law, PLLC on

As deals increase in complexity, and ownership structures are oftentimes opaque and obfuscated, it is important to be mindful of CFIUS’s continued stance of requesting identities of Limited Partners (LPs) in transactions...more

A&O Shearman

Mansion House: UK Financial Conduct Authority Feedback on Advice Guidance Boundary Review and Next Steps

A&O Shearman on

The U.K. Financial Conduct Authority has published feedback to its December 2023 advice guidance boundary review. The review included a number of proposals to improve how people can access help with their pensions and retail...more

A&O Shearman

Mansion House: New Remit Letters for UK Financial Conduct Authority and Prudential Regulation Authority to Focus on Growth

A&O Shearman on

HM Treasury has published remits and recommendations for the U.K. Financial Conduct Authority and Prudential Regulation Authority, set out in a letter sent from Rachel Reeves, Chancellor of the Exchequer, to Nikhil Rathi, FCA...more

A&O Shearman

UK Financial Conduct Authority Publishes Discussion Paper on Improving the UK Transaction Reporting Regime

A&O Shearman on

The U.K. Financial Conduct Authority has issued a discussion paper on potential options for improving the U.K. transaction reporting regime. The FCA has two primary objectives: to improve the usefulness of transaction...more

A&O Shearman

UK bankers' remuneration: significant reform proposals

A&O Shearman on

The PRA and FCA are consulting on new proposals to simplify the UK remuneration regime and make it more proportionate for banks. Changes would reduce the number of material risk takers (MRTs) subject to the rules, simplify...more

A&O Shearman

Mansion House: HM Treasury Publishes Remit and Recommendations Letter for Financial Policy Committee

A&O Shearman on

HM Treasury has published a letter from Rachel Reeves, Chancellor of the Exchequer, to Andrew Bailey, Governor of the Bank of England, setting out the remit and recommendations for the Financial Policy Committee for 2024/25....more

A&O Shearman

HKMA guideline on Digital Bond Grant Scheme

A&O Shearman on

On November 28, 2024, the Hong Kong Monetary Authority (HKMA) published the guideline on Digital Bond Grant Scheme (DBGS). As acknowledged in the 2024 Policy address, the DBGS is part of the Hong Kong Government and HKMA’s...more

Paul Hastings LLP

Daily Financial Regulation Update -- Thursday December 5

Paul Hastings LLP on

December 4, 2024- The U.S. House Committee on Financial Services held a hearing entitled “Innovation Revolution: How Technology is Shaping the Future of Finance.”...more

Ropes & Gray LLP

EDGAR Next: SEC Adopts Improvements to EDGAR Filer Access and Account Management

Ropes & Gray LLP on

On September 27, 2024, the Securities and Exchange Commission (the “SEC”) adopted rule and form amendments to enhance the security and account management of its electronic filing system called EDGAR (i.e., Electronic Data...more

Paul Hastings LLP

Daily Financial Regulation Update -- Wednesday December 4

Paul Hastings LLP on

December 3, 2024 - The Consumer Financial Protection Bureau proposed a rule addressing data brokers that sell Americans' sensitive personal and financial information....more

Bennett Jones LLP

Short-Selling Structure not Abusive—Ontario Capital Markets Tribunal Dismisses OSC Allegations in High-Profile Enforcement...

Bennett Jones LLP on

In recent years, the OSC and other regulatory bodies began signaling to public markets that regulators intended to crack down on what they termed abusive short-sellers. Against this backdrop, the OSC brought enforcement...more

Wilson Sonsini Goodrich & Rosati

2024 Silicon Valley 150 Corporate Governance Report

Wilson Sonsini’s 2024 Silicon Valley 150 Corporate Governance Report reviews the corporate governance practices and disclosures of the Valley's largest public companies between October 1, 2023, and September 30, 2024. The...more

58,850 Results
 / 
View per page
Page: of 2,354

"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