LATEST ARTICLES
United States
Schulte Roth & Zabel LLP
On March 1, 2024, New York Governor Kathy Hochul signed into law an amended version of the New York LLC Transparency Act, requiring certain limited liability companies formed or authorized to do business in New York ...
Lowenstein Sandler
On April 5, 2024, a jury found Matthew Panuwat civilly liable for insider trading in violation of federal securities laws in a first-of-its-kind "shadow trading" case (also referred to as "sympathy
Dickinson Wright PLLC
Join us for an informative webinar featuring Mark High from Dickinson Wright's Detroit office.
Mayer Brown
On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser...
Scarinci Hollenbeck LLC
Known as the "Supervision Rule," FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons.
Alvarez & Marsal
In an evolving regulatory landscape, financial institutions face a critical challenge: ensuring their third-party risk management programs not only comply with the new final joint guidance...
K&L Gates
On 17 April 2024, the Securities and Exchange Commission (SEC) Division of Examinations issued a risk alert entitled "Initial Observations Regarding Marketing Rule Compliance"...
Jones Day
On March 1, 2024, New York State Governor Kathy Hochul signed into law a revised version of New York State's LLC Transparency Act, which is modeled on FinCEN's Beneficial Ownership Information Rule.
Osborne Clarke
Expanding internationally is an exciting prospect for companies looking to reach new markets to propel growth. However, it's important for businesses to balance the plethora of growth...
Kelley Drye & Warren LLP
If your company qualifies for the EPRC requirement, but has not yet applied for an EPRC, you should act now to meet compliance requirements.
Foley & Lardner
In 2022, Foley's International Government Enforcement Defense & Investigations Team produced a set of interactive international compliance and risk-mitigation heat maps, designed to provide...
Buckingham, Doolittle & Burroughs
As you might be aware, Federal legislation known as the "Corporate Transparency Act" (the "Act") went into effect as of the beginning of this year. The Act requires many businesses...
Ogletree, Deakins, Nash, Smoak & Stewart
The U.S. Securities and Exchange Commission (SEC) and other financial regulators are targeting regulated entities over their employees' use of personal messaging apps and other off-channel...
Kelley Drye & Warren LLP
On April 4, 2024, the U.S. Securities and Exchange Commission (SEC) issued a stay of its final rules on climate-related disclosures.
Cadwalader, Wickersham & Taft LLP
Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.
WilmerHale
The imposition of an independent compliance monitor continues to be a favored tool of the government in resolving corporate enforcement matters.
Mayer Brown
On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.
K&L Gates
On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve certain electronic communications.
Vorys Sater Seymour & Pease
On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted a final rule that will require public companies to provide certain climate-related information...
Lowenstein Sandler
On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding "off-channel communications."
Mondaq Webinars
APR24
FREE News Alerts
Sign Up for our free News Alerts - All the latest articles on your chosen topics condensed into a free bi-weekly email.
Comparative Guides
Curated Content
DHS Audit Of CBP's Centers Of Excellence And Expertise Yields Evidence Of Mismanagement
Braumiller Law Group, PLLC
Braumiller Law Group, PLLC
Popular Contributors
Buckingham, Doolittle & Burroughs
United States
Nyemaster Goode
United States
Partridge Snow & Hahn
United States
Upcoming Events
APR25
Reception Washington, DC United States
APR25
Seminar Miami United States
Mondaq Advice Centres
