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Searching Content indexed under Corporate/Commercial Law by Ropes & Gray LLP ordered by Published Date Descending.
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1
France's National Financial Prosecutor And Anti-Corruption Agency Issue Joint Guidelines On Corporate Settlement Mechanisms
On June 28, 2019, the French National Financial Prosecutor's Office (Parquet National Financier)("PNF")1 and the French Anti-Corruption Agency (Agence Fran็aise Anticorruption)("
United States
16 Aug 2019
2
SEC Proposes Amendments To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors
On August 8, 2019, as part of its Disclosure Effectiveness effort, the SEC proposed amendments to three discrete Regulation S-K items – business description
United States
15 Aug 2019
3
Ropes & Gray's Investment Management Update – June-July 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
15 Aug 2019
4
Second Circuit Finds An Implied Private Right Of Action Under The Investment Company Act, Departing From The Third Circuit And Other Courts
The Second Circuit concluded in Oxford University Bank v. Lansuppe Feeder, Inc. that Congress' intent in enacting Section 47(b) was to grant contracting parties a right to sue for rescission of a contract that allegedly violates the ICA. In recent years,
United States
14 Aug 2019
5
OFAC Continues To Demonstrate Greater Interest In Cryptocurrency Regulation And Enforcement
With the widespread arrival of Initial Coin Offerings ("ICOs") over the last several years,1 U.S. authorities have made deliberate progress toward keeping pace with the fast-growing crypto industry.
United States
13 Aug 2019
6
FTC Imposes Record-Setting $5 Billion Penalty To Resolve Allegations That Facebook Violated User Data Privacy
On July 24, 2019, the Federal Trade Commission ("FTC") announced that Facebook, Inc. ("Facebook" or the "Company") would pay a record-setting penalty in the amount of $5 billion
United States
8 Aug 2019
7
DOJ's Antitrust Division Announces New Policy To Incentivize Corporate Compliance At Charging
There are significant legal and business implications as a result of the new policy, which further underscore the importance of establishing and maintaining an effective and robust compliance program to minimize risks and exposure.
United States
1 Aug 2019
8
Upcoming Deadline For Form SHL – Foreign Ownership Of US Securities
A "U.S. security" is a security issued by a U.S. resident. A U.S. security can be issued in any country, denominated in any currency and traded on any exchange and such factors are not relevant in determining whether the security is a "U.S. security.
United States
30 Jul 2019
9
Podcast: Private Fund Regulatory Update – Network And Cloud Storage
Also, they or their private funds may instead have obligations under other similar regulations.
United States
25 Jul 2019
10
SEC Adopts Rule Change To Address Funds' Auditor Independence Problem
In a June 18, 2019 release (the "Release"), the SEC adopted amendments to the "Loan Rule" (as defined below), a part of the SEC's auditor independence rule, Rule 2-01 of Regulation S-X.
United States
18 Jul 2019
11
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions: Potential Opportunities For Both Private Funds And Registered Funds
On June 18, 2019, the SEC published its Concept Release on Harmonization of Securities Offering Exemptions (the "Release")
United States
10 Jul 2019
12
A Guide To FCA Cooperation Credit For Life Sciences Companies
On May 7, 2019, the U.S. Department of Justice issued guidelines describing when and under what circumstances it will award cooperation credit in False Claims Act matters.
United States
9 Jul 2019
13
The IRS' New Large Corporate Compliance Program Targets Noncompliance Risks For Examination
On May 16, 2019, the Large Business and International (LB&I) Division of the IRS unveiled the Large Corporate Compliance (LCC) program.
United States
9 Jul 2019
14
SEC Adopts Regulation Best Interest And Issues Interpretive Release On The "Solely Incidental" Exclusion
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
United States
27 Jun 2019
15
SEC Adopts Form CRS (Client Relationship Summary) For Advisers And Broker-Dealers
On a June 5, 2019, the SEC adopted Form CRS ("relationship summary"), along with new and amended rules and forms, to improve retail investors' understanding of the different investment-related
United States
27 Jun 2019
16
IOSCO Report Underlines Cyber-Risk Standards For Financial Services Firms
Reflecting its ever-increasing importance on regulators' lists of priorities, the Board of International Organization of Securities Commissions ("IOSCO")...
United States
27 Jun 2019
17
SEC Releases Final Interpretation On Adviser Conduct Standard And Fiduciary Duty
On June 5, 2019, the SEC held an open meeting and issued a long-awaited final interpretation entitled "Commission Interpretation Regarding Standard of Conduct for Investment Advisers"
United States
24 Jun 2019
18
Dutch Child Labor Due Diligence Act Approved By Senate – Implications For Global Companies
The Dutch Senate has approved the Child Labor Due Diligence Act, which had been pending for more than two years
United States
12 Jun 2019
19
Ropes & Gray's Investment Management Update – April-May 2019
The following summarizes recent legal developments of note affecting the registered fund/investment management industry
United States
11 Jun 2019
20
A Fresh Look At Exclusive Forum Provisions
One common feature of large M&A transactions is the almost inevitable stockholder litigation challenging the transaction.
United States
11 Jun 2019
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