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The Volkov Law Group

Episode 347 -- LRN's Code of Conduct Survey

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Have you ever wondered how different cultures and generations engage with a company's code of conduct? Do employees across the globe really follow ethical guidelines in the same way, or are there stark contrasts depending on...more

Orrick, Herrington & Sutcliffe LLP

Legal Ninja Snapshot: #ESOP & Flips - U.S. ESOPs for Employees of the German Subsidiary Now Available

Good news! The second chamber (Bundesrat) has now paved the way for the eagerly awaited and much-debated inclusion of a group privilege in sec. 19a of the German Income Tax Act (“EStG”). German start-ups that have done the...more

Blake, Cassels & Graydon LLP

CSA Proposes Access Model for Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers

On November 19, 2024, the Canadian Securities Administrators (CSA) announced it is seeking feedback on proposed changes to implement an access model for annual financial statements, interim reports and related management’s...more

Cooley LLP

In appeal, NAM insists “solicitation” includes proxy voting advice

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Back in February, in ISS v. SEC, the D.C. Federal District Court vacated the SEC’s 2020 rule that advice from proxy advisory firms was a “solicitation” under the proxy rules. Both the SEC and National Association of...more

Cooley LLP

What to Expect From the Mandatory Sustainability Disclosure Standards for Non-EU Companies

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The European Financial Reporting Advisory Group (EFRAG) is in the process of finalizing its draft sustainability reporting standards for non-EU parent companies (NESRS), which will shortly be subject to public consultation....more

Jackson Lewis P.C.

Hybrid Workplaces + Regulatory Obligations: What FINRA Members Need to Know About the RSL Rule and Remote Inspections

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As of June 1, 2024, FINRA member firms have been able to identify as a “Residential Supervisory Location” (RSL) a “private residence from which an associated person engages in supervisory functions,” so long as certain...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for October 2024

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Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Accounting fraud charges for allegedly concealing costs; ...more

Wilson Sonsini Goodrich & Rosati

Sustainability and ESG Advisory Practice Update, November 2024

We are pleased to share the November 2024 issue of Wilson Sonsini's Sustainability and ESG Advisory Practice Update. Each issue combines news, key legal developments, and resources related to sustainability and environmental,...more

Bennett Jones LLP

CSA Seeks Comments on Proposed Access Model: Modernized Approach for Delivery of Continuous Disclosure

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As an update to our previous blog posts, Greater Flexibility for Reporting Issuers: Access Equals Delivery and CSA Seeks Comments on “Access Equals Delivery” Model for Prospectuses, Financial Statements and MD&A, the Canadian...more

Mayer Brown

ESCs in Fund Employee Co-Investment Loan Programs

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EXECUTIVE SUMMARY - Fund sponsors may offer their employees and other investment professionals an opportunity to invest in its funds through a co-investment program, which a lender may partially finance....more

Bass, Berry & Sims PLC

PCAOB Delays NOCLAR Rulemaking to 2025 Amid Controversy and Election-Year Dynamics

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The Public Company Accounting Oversight Board (PCAOB) delayed the adoption of a final rule with respect to its June 2023 proposal (Proposal) to increase auditors’ responsibility to evaluate and disclose a public company’s...more

A&O Shearman

Financial Reporting Council consults on the UK Stewardship Code

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On November 11, 2024, the Financial Reporting Council (FRC) published a consultation on proposed revisions to the UK Stewardship Code 2020 (the Code). The FRC recently published a consultation on proposed revisions to the...more

A&O Shearman

Trends in Dutch public M&A 2024

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Our latest report delves into the key trends and noticeable events that have shaped the dynamic Dutch public M&A landscape from January 1, 2023 to November 12, 2024. Key trends we want to highlight are: 1. Low deal...more

White & Case LLP

Robust refinancing activity bolsters high yield rebound

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High yield bond issuance in the US and Europe has made strong gains as issuers return to the market to refinance at more attractive rates - High yield bond markets in the US and Europe made strong gains through the first...more

Skadden, Arps, Slate, Meagher & Flom LLP

National Payments Vision: A Strategic Blueprint for the Future of UK Payments

On November 14, 2024, the UK government unveiled its National Payments Vision (the Vision), a strategy designed to reshape the UK’s payments ecosystem. This Vision responds to the findings of the 2023 Future of Payments...more

SEC Compliance Consultants, Inc. (SEC³)

October and November 2024 Regulatory Roundup

After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more

Fenwick & West LLP

New Structured Data Requirement for Schedules 13D/13G Takes Effect Dec. 18

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Beginning December 18, Schedules 13D and 13G must be filed using an XML-based language. Filers will have the option of (1) using a fillable web form that converts inputted disclosures into 13D/13G-specific XML or (2)...more

NAVEX

How Compliance Teams Can Think About Risk in Modern Times

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A few weeks back the U.S. Financial Crimes Enforcement Network (FinCEN) published a bulletin urging financial firms to do better at identifying deepfakes that fraudsters might use to evade customer due diligence programs. The...more

Vinson & Elkins LLP

Ephemeral Sweeps: President-Elect Trump’s SEC Expected to Abandon Probes into Use of WhatsApp and “Off-Channel” Messaging...

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After a three-year crackdown on the use of “ephemeral” electronic messaging platforms by the United States Securities and Exchange Commission (“SEC”) under Chair Gary Gensler, early indications are that the incoming Trump...more

Thomas Fox - Compliance Evangelist

Compliance Lessons from Venice – Part 3: Straight from the Lion’s Mouth and Whistleblower Programs

In the final part of the Compliance Lessons from Venice series, we focus on one of Venice’s earliest tools for addressing misconduct: a reporting system predating modern whistleblower programs. Known as the Lion’s Mouth, this...more

BCLP

U.S. Supreme Court Changes Its Mind, Will Not Decide Facebook Dispute Concerning Public Companies’ Risk-Factor Disclosures

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After hearing argument earlier this month in a widely followed securities law case concerning risk-factor disclosures of public companies, the U.S. Supreme Court last week decided it should not have agreed to hear the case...more

Vinson & Elkins LLP

Freight Accounting Fumble Leads to SEC Fine: UPS Penalized for Not Booking Known Impairment to Goodwill

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The Securities and Exchange Commission (SEC) recently announced that United Parcel Service Inc. (UPS) has agreed to pay a $45 million penalty for materially misrepresenting its earnings by improperly valuing its UPS Freight...more

Hogan Lovells

Green STS securitisations moving forward with standardised sustainability disclosures

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On 8 July 2024, the European Commission Delegated Regulation (EU) 2024/17001 entered into force, providing long-awaited regulatory technical standards (RTS) as mandated under Articles 22(6) and 26d(6) of the EU Securitisation...more

Locke Lord LLP

FUNDamentals: 2025 SEC Examination ‎Priorities

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On October 21, 2024, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) released its examination priorities for 2025 (the “2025 SEC Examination Priorities”). The Division will...more

Cooley LLP

Nasdaq proposes to amend deadline for notification of reverse split

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In November 2023, the SEC approved new Nasdaq listing standards related to notification and disclosure of reverse stock splits. (See this PubCo post.) The rules were designed to “enhance the ability for market participants to...more

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