Strategic Benefits of Consumer Surveys in Complex Litigation | Episode 69
Compliance Perspectives: Michael Horowitz, Inspector General at the Department of Justice, on Conducting High Profile Internal Investigations - Part 2
Compliance Perspectives: Michael Horowitz, Inspector General at the Department of Justice, on Conducting High Profile Internal Investigations - Part I
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
The SEC Division of Examinations recently published a Risk Alert on quarterly reports required under Exchange Act Rule 606, which are published by broker-dealers to provide customers with insight into factors influencing...more
Key Takeaways - ..On August 25, 2022, the Securities and Exchange Commission (“SEC”) adopted final pay-versus-performance rules (the “Final Rules”) that guide the implementation of Section 953(a) of the Dodd-Frank Act,...more
A new national strategy report aims to combat climate-related risks to the US financial system. On October 14, 2021, the Biden Administration issued “A Roadmap to Build a Climate-Resilient Economy” (the Roadmap), a...more
As U.S. public companies prepare to kick off the Q2 2020 financial reporting season, a clear trend is emerging, with 80% of S&P 500 companies refusing to provide earnings guidance during the last three months, according to a...more
The new rules retain many of the current rules’ core requirements, but expand certain obligations and impose requirements on debt research activities for the first time. On August 26, 2015, the Financial Industry...more