With increasing demand from regulators and investors for the highest standards of corporate governance and stringent compliance with a growing list of complex regulations
DeHeng Law Offices
Agram Legal Consultants
In this regard, the 2020 Regulations have clarified that the role of the compliance officer cannot be assigned to the principal officer or the employee of the portfolio manager.
Loyens & Loeff
From full-blown crisis situations to evaluating the compliance framework, today's experts can advise ...
On 6 December 2019, the Witness Evidence Working Group (WEWG) published its report on improvements to the current practice regarding factual witness evidence
Arnold & Porter
On January 30, 2020, the SEC issued Guidance on the use of key performance indicators and metrics in MD&A.
On September 19, 2019, the SEC adopted new rules and amendments establishing recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants and broker-dealers.
he release was approved by a 3-2 vote, with Commissioners Jackson and Lee dissenting.
Ropes & Gray LLP
January appears to have been MD&A month at the SEC. On January 30, the SEC proposed amendments to modernize, simplify, and enhance its Management's Discussion and Analysis...
Hogan Lovells developed a checklist of key changes and considerations that public companies should be aware of when preparing their Forms 10-K and proxy statements for the upcoming filing season
On January 30, 2020, the US Securities and Exchange Commission continued its recent efforts to modernize and simplify its disclosure requirements by proposing to revise Item 303 of Regulation S-K (Management's Discussion and ...
On January 7, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination Priorities
In our recent research study ‘Private Equity: Where Challenges Meet Opportunities', regulation and transparency were singled out by a large number of respondents as key factors having an impact...
Kramer Levin Naftalis & Frankel LLP
The Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) published its 2020 Examination Priorities, an annual publication that enhances transparency...
Gibson, Dunn & Crutcher
Join our distinguished panelists as they discuss significant
2019 developments in areas including antitrust, corporate
On January 9, 2020, FINRA released its annual risk monitoring and examination priorities letter. The 2020 Letter describes the areas of focus for FINRA's risk monitoring, surveillance and examination programs in 2020.
On January 7, 2020, the Office of Compliance Inspections and Examinations ("OCIE") of the U.S. Securities and Exchange Commission ("SEC") announced its examination priorities for fiscal year 2020.
The proposal will be open for comment for 60 days.
Access our BDC Facts & Stats, which provides a compendium of information regarding BDCs, including BDCs that have increased their use of leverage, the terms of BDC advisory agreements, and more.
Sheppard Mullin Richter & Hampton
In Episode 25, we were brought up to speed on privacy laws by Liisa Thomas.