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Disclosure Requirements Securities and Exchange Commission (SEC) AML/CFT

Troutman Pepper

Well, California Has Decided to Regulate Crypto

Troutman Pepper on

On October 13, California Governor Gavin Newsom (D) signed Assembly Bill 39 (Digital Financial Assets Law). This new law broadly empowers the California Department of Financial Protection and Innovation (DFPI) to govern...more

WilmerHale

Ready to Report: Complying with FinCEN’s New Beneficial Ownership Rule Under the CTA

WilmerHale on

Although the Corporate Transparency Act’s (“CTA”) new beneficial ownership rule goes into effect on January 1, 2024, recent polling suggests that many businesses remain either unaware of these upcoming reporting obligations...more

Dechert LLP

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Goodwin

SEC Proposes New Round of Money Market Fund Reforms

Goodwin on

In This Issue. The U.S. Securities and Exchange Commission (SEC) voted to propose money market fund reforms; the SEC also proposed amendments to Rule 10b5-1 trading plans and to modernize and improve share repurchase...more

Holland & Knight LLP

FinCEN Announces Proposed Regulations to Implement Corporate Transparency Act Requirement

Holland & Knight LLP on

The U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) released proposed regulations on Dec. 7, 2021, seeking to implement the "beneficial ownership information" (BOI) requirement of the Corporate...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on the Latest FINRA Guidance on CAB Rules and Fees; New HSR Filing...

SEC/CORPORATE - SEC Proposes Amendments to Financial Disclosure in Regulation S-K and Issues New Guidance - On January 30, the Securities and Exchange Commission voted to propose amendments to certain financial...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Proposed SEC Changes for Off-Floor Transfer Options and Guidance From...

SEC/CORPORATE - SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods - On October 24, the Securities and Exchange Commission proposed amendments to update filing fee disclosure and payment methods....more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 11

In This Issue: - Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions - SEC Charges Insiders for Failure to Update Schedule 13D Disclosures - CBOE Proposes Amendments to...more

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