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Risk Mitigation Material Nonpublic Information

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

New York State Department of Financial Services Releases Guidance on Combating Cybersecurity Risks Associated With AI

On October 16, 2024, the New York State Department of Financial Services (NYDFS) released guidance highlighting the cybersecurity risks associated with artificial intelligence (AI) and how covered entities regulated by NYDFS...more

BCLP

Post-Panuwat: Have You Reviewed and Updated Your Insider Trading and Other Corporate Policies?

BCLP on

As discussed in our September 1, 2021 post, the SEC brought its first “shadow insider trading” case against Matthew Panuwat, a company employee who purchased options in a competitor’s shares shortly after learning his...more

BakerHostetler

SEC Eyes Work-From-Home Pitfalls in Crackdown on Insider Trading and Off-Channel Communications

BakerHostetler on

The new flexible work environment created in the post-pandemic years poses unique challenges for companies and individuals who work outside a traditional office. The SEC knows this and is actively enforcing the securities...more

Akin Gump Strauss Hauer & Feld LLP

New CFIUS Law: Key Issues Affecting the Energy Sector

• FIRRMA broadens the scope of a CFIUS review beyond transactions that could result in a foreign person gaining the ability to control a U.S. business. Consequently, more energy deals could be captured through expanded...more

Akin Gump Strauss Hauer & Feld LLP

Big Data and the Risks of Insider Trading

In the perennial quest for alpha, investment managers have turned increasingly to big and alternative data for market insights. The most prominent consumers of this data on Wall Street are managers of ‘‘quant’’ funds, which...more

PilieroMazza PLLC

Organizational Conflicts of Interest

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OVERVIEW - - Introduction to Organizational Conflicts of Interest (“OCI”) - Unequal Access to Information - Biased Ground Rules - Impaired Objectivity - Waiving an OCI - Strategic...more

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