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Disclosure Requirements Enforcement Priorities

Baker Botts L.L.P.

Curbing Regulatory Crimes: Latest Executive Order Warrants Close Attention by Corporate Legal and Compliance Teams

Baker Botts L.L.P. on

On May 9, 2025, President Donald J. Trump signed a new Executive Order titled Fighting Overcriminalization in Federal Regulations, marking a significant policy shift in how federal agencies and the Department of Justice (DOJ)...more

Holland & Knight LLP

Education Dept. Prioritizes Foreign Gifts and Contracts Enforcement for Colleges, Universities

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The Trump Administration stated last week that it will prioritize compliance and enforcement against colleges and universities with respect to the U.S. Department of Education (ED)'s foreign gift, contract and ownership...more

Venable LLP

FTC Makes Clear It Will Continue Regulating Subscription Services and Signals Enforcement Priority for Negative Option Rule in...

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This week, the Federal Trade Commission (FTC) filed a lawsuit in federal court against rideshare and delivery company Uber for allegedly deceptive subscription practices, including making it unreasonably difficult to cancel....more

Woods Rogers

Heightened U.S. Border Scrutiny Poses Increased Digital Privacy Risk for Entrants to U.S.

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Foreign nationals visiting the United States, and even returning U.S. citizens and other legal residents (with valid visas), face increasing digital privacy risks and potential entry challenges when arriving at U.S. ports of...more

Latham & Watkins LLP

FCA Publishes 5-Year Strategy and Outcome of Rule Review

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FCA outlines its priorities and areas in which it plans to reduce the regulatory burden for firms. On 25 March 2025, the FCA published its five-year strategy (Strategy), alongside the outcome of its review of retail conduct...more

Latham & Watkins LLP

Recent Developments for UK PLCs - March 2025

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On 6 February 2025, the House of Lords Financial Services Regulation Committee published a report titled “Naming and shaming: how not to regulate”....more

Cadwalader, Wickersham & Taft LLP

Amid Chaos, Regulatory Change Continues Apace, March 2025 - New CFTC Enforcement Guidance

On February 25th, 2025, the Commodity Futures Trading Commission’s (“CFTC”) Division of Enforcement (“Division”) issued a long-awaited advisory (the “Advisory”) regarding its evaluation of how a company’s or individual’s...more

Fenwick & West LLP

CLE Takeaways: A Public Company’s Guide to Corporate and Securities Law Developments 2025

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The U.S. Securities and Exchange Commission (SEC) is intensifying its focus on transparency. The agency has its lens trained on insider trading policies, cybersecurity and AI disclosures, and other high-risk enforcement...more

SEC Compliance Consultants, Inc. (SEC³)

January 2025 Regulatory Roundup

Trump Picks New SEC Head, SEC Enforcement Starts Strong in 2025, and Latest Lessons from EXAMS: Details Matter and Duty of Care Fails - Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the...more

Latham & Watkins LLP

Recent Developments for Directors - January 2025

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President Trump’s nominee for SEC Chair, Paul Atkins, advocates a business-friendly, light-touch regulatory philosophy and is expected to lead the agency to retether its rulemaking to the SEC’s three-part statutory mission —...more

White & Case LLP

SEC Enforcement Year-End Overview

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2024 marks the final year of Gary Gensler's term as Chair of the U.S. Securities and Exchange Commission ("SEC"). The Gensler SEC has been aggressive on both the enforcement and rulemaking fronts. In response, the financial...more

BCLP

SEC Enforcement Tea Leaves: Expected Priorities in the Second Trump Administration

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How will President-elect Trump’s reelection impact the SEC’s enforcement priorities? We looked for clues from the first Trump Administration’s Enforcement program, and also from the agency’s current Republican Commissioners....more

DLA Piper

Horizon - ESG Regulatory News and Trends - November 2024

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Welcome to Horizon, DLA Piper’s monthly bulletin reporting on late-breaking legislative and policy developments in ESG. Our aim is to scan the litigation, enforcement, and regulatory horizon to help inform business decisions....more

McDermott Will & Emery

Insurers: Climate Risk Disclosures Today, Scenario Testing Tomorrow

For more than a decade US insurance regulators have required certain insurers to file climate risk disclosure reports. In recent years, financial regulators in Europe have begun climate change scenario testing while still...more

Fenwick & West LLP

SEC Disclosure Priorities for 2024

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In his State of Disclosure Review, U.S. Securities and Exchange Commission Director of Corporation Finance Erik Gerding provided an overview of the annual report review program and outlined disclosure priorities for 2024....more

Latham & Watkins LLP

Recent Developments for Directors - April 2024 Edition

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SEC Wins “Shadow Trading” Case - The SEC notched a major win in its recent Panuwat case, described as the first-ever “shadow trading” enforcement action. After a biotech executive learned about his company’s imminent...more

Lathrop GPM

Regulators Examining Interested Party Transactions in Healthcare and in other Nonprofits

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State attorneys general, the IRS, and other regulators are focused on “interested party” (conflict-of-interest) transactions in the healthcare and nonprofit sectors. While these transactions are generally permissible and may...more

BakerHostetler

SEC’s Enforcement Division Continues to Scrutinize Disclosure of Executive Perks

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The Securities and Exchange Commission’s (SEC or Commission) Division of Enforcement continues to be laser focused on executive perks and the manner in which they are disclosed by public companies. The SEC is expected to...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Employers, Beware: California Regulators Are Actively Enforcing the California Consumer Privacy Act

California Attorney General Rob Bonta has been actively enforcing the California Consumer Privacy Act (CCPA) since July 2023, when he announced an “investigative sweep” through inquiry letters sent to large California...more

Dorsey & Whitney LLP

2024 SEC Examination Priorities for Investment Advisers

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The SEC’s Division of Examinations (the “Division”) announced its examination priorities for fiscal year 2024. This eUpdate includes observations on the examination priorities and a list of examination priorities that impact...more

Goodwin

Navigating the SEC's Focus on Private Fund Fees: Understanding the Trends and Mitigating Risk

Goodwin on

The following is an edited version of a conversation between Goodwin partners Jonathan Hecht and Isaac Vinyarsh. Before joining Goodwin, Jonathan spent more than a decade in the SEC’s Division of Enforcement, including...more

Holland & Knight LLP

SEC Enforcement Continues SPAC Crackdown as Founder Trading Profits Generate Scrutiny

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Despite the frothy market for special purpose acquisition companies (SPACs) in 2021, companies considering such a transaction have been met recently with significant market headwinds, a short supply of suitable targets, the...more

Venable LLP

Takeaways from NAD 2022: The FTC’s Enforcement Priorities, New Technologies, Dark Patterns, and the Usual Suspects

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​​​​​​​Last week, the National Advertising Division of the Better Business Bureau National Programs (NAD) held its annual conference. The wide array of speakers covered a broad range of topics, from the metaverse to dark...more

BakerHostetler

TINA Issues Warning Letters to Celeb NFT Endorsers

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​​​​​​​From Eminem to Snoop Dog, Tony Hawk to Lionel Messi, William Shatner to Brie Larson, music, sports, and Hollywood celebrities have eagerly jumped on the NFT (non-fungible token) bandwagon. Whether launching their own...more

Miles & Stockbridge P.C.

Where Does ESG-Related Disclosure Reporting Stand?

Our earlier blog post, “Companies Should Know Benefits and Risks of ESG Reporting,” provided an overview of the Environmental, Social and Governance (“ESG”) metrics, why these metrics are important to companies and...more

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