News & Analysis as of

Enforcement Actions Initial Public Offering (IPO) Risk Management

Hogan Lovells

Sanctions compliance and Singapore listing rules: Risks beyond Singapore sanctions

Hogan Lovells on

The Singapore Exchange (SGX) expects issuers to manage global sanctions risk, not just the risk from Singapore-imposed sanctions. Sanctions risks need to managed on a group-wide basis, including subsidiaries and affiliates...more

Woodruff Sawyer

Securities Class Actions 2024 Recap: An Uptick in Filings Plus Record-Breaking Settlements [Report]

Woodruff Sawyer on

Woodruff Sawyer’s D&O Databox™ Year-End Report provides insights about securities class action activities, developments, and historical trends—sourced from Databox, our proprietary database and leading resource for securities...more

Ropes & Gray LLP

Capital Markets & Governance Insights - January 2025

Ropes & Gray LLP on

Companies should not minimize the extent of a material cybersecurity incident by omitting material facts regarding the scope and potential impact of the incident. Cybersecurity risk factor disclosures should be tailored to a...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - December 2024

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Latham & Watkins LLP

Recent SFC Enforcement Action: 5 Key Takeaways for Hong Kong IPO Sponsors

Latham & Watkins LLP on

Sponsors should maintain best practices in IPO engagements in light of increased enforcement action and regulatory scrutiny from the SFC. Key Points: ..In March 2019, the Hong Kong securities regulator, the Securities...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden's 2019 Insights: SEC Continues Steady Progress With Regulatory, Enforcement Goals

As the Securities and Exchange Commission (SEC) enters the third year of the Trump administration, its regulatory and enforcement goals remain largely unchanged. At the direction of Chairman Jay Clayton, the SEC continues to...more

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Regulatory Update - March 2015

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

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