News & Analysis as of

Investors Business Continuity Plans

Hutchison PLLC

Top Employment Law Considerations for Startups, with Ashley K Pittman

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At Hutchison PLLC, we specialize in working with startups, so we completely understand that when you’re trying to build a business from nothing, legal isn’t always your top priority. You need to quickly figure out product...more

Ward and Smith, P.A.

Talking Shop: State of the Construction Industry

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Recently, Hank Harris, Ward and Smith Business Consulting Director of Consulting, delivered his take on the factors currently shaping the construction industry and what he anticipates the future will bring. Harris spent...more

Faegre Drinker Biddle & Reath LLP

What’s New, and Comings & Goings at the SEC

What’s New, and Comings & Goings at the SEC - What’s New: The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently issued a Risk Alert titled “Select COVID-19 Compliance Risks and Considerations for...more

McGuireWoods LLP

Recent SEC and FINRA Guidance to Impact Firms’ COVID-19 — and Post-COVID-19 — Operations

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As the pandemic continues, firms have begun to consider whether certain practice and cultural changes spurred by COVID-19 should become more permanent. To date, the U.S. Securities and Exchange Commission (SEC) and Financial...more

Akin Gump Strauss Hauer & Feld LLP

SEC Risk Alert Highlights on COVID-19-Related Compliance Risks and Considerations for Investment Advisers and Broker-Dealers

- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more

King & Spalding

SEC Examiners Warn of COVID-Related Compliance Risks for Broker-Dealers and Investment Advisers

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The Securities and Exchange Commission (“SEC”) last week published its observations from the first five months operating the SEC’s national examination program during the ongoing COVID-19 pandemic. This is the latest...more

Allen Matkins

PropTech Update - August 2020

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How PropTech firms struck deals during lockdown - Bullet The Real Deal – July 27 - During the first half of the year, venture capital funds invested $1.2 billion in 102 PropTech deals, according to PitchBook, compared to...more

NAVEX

After COVID-19, Where Was the Board?

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COVID-19 is testing every part of a corporation and its business continuity planning. And the very top of the organization — namely, the board of directors — is no exception. What are the board’s responsibilities during...more

Vedder Price

Investment Services Regulatory Update - November 2017

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New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

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