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Goodwin Procter LLP
On September 5, 2023, almost one year since its first flurry of similar Custody Rule actions, the SEC announced settlements with five SEC-registered investment advisers to private funds with respect to alleged violations of Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule) and related Form ADV violations.
Goodwin Procter LLP
The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged violations of Rule 206(4)-1 under the Investment Advisers Act.
Cooley LLP
On September 18, 2023, the US Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) published its Small Entity Compliance Guide – the agency's most comprehensive guidance...
Cooley LLP
Cooley advised Pryon, the pioneer in bringing artificial intelligence to knowledge management, on the close of its Series B financing at $100 million.
Following the death of George Floyd and mass protests against racial inequity in 2020 culminating years of slowly building stakeholder pressure on various aspects of diversity...
Bass, Berry & Sims
In a recent article for Agenda, I commented on the comment letters from the Securities and Exchange Commission (SEC) related to non-GAAP measures and what this focus could mean for audit committees.
Withers LLP
Data Innovation, Privacy and Cybersecurity Partner Doron Goldstein discussed the Securities and Exchange Commission's (SEC) adoption of cyber incident reporting rules...
Lewis Brisbois Bisgaard & Smith LLP
Phoenix Partner Julie E. Maurer, Chair of the National Cargo & Logistics Practice and co-Chair of the Transportation Practice, and Partner Andrew Kleiner recently obtained summary judgment...
Bass, Berry & Sims
For many employees, equity – as a component of their compensation package – is as valuable to them as their ability to access the equity's value. For private companies, valuation and tax issues present unique...
Bass, Berry & Sims
Section 220 books and records demands remain popular, especially from minority shareholders in healthcare PE post-closing disputes. While recent decisions from the Delaware Court of Chancery...
KI Legal
A business owner has a legal obligation to act in the best interests of the company and its stakeholders. This legal obligation is known as a fiduciary duty...
Kelley Drye & Warren LLP
Those who were looking for big fireworks at yesterday's confirmation hearings for three FTC Commissioners were likely disappointed by the relatively business-as-usual nature of the proceedings.
Proskauer Rose LLP
In 2021, the U.S. enacted the Corporate Transparency Act (the "CTA") as part of a multi‑national effort to rein in the use of entities to mask illegal activity.
Kramer Levin Naftalis & Frankel LLP
On Sept. 20, the Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1, more commonly known as the "Names Rule," under the Investment Company Act of 1940(Investment Company Act).
Cooley LLP
One area where SEC Enforcement appears to have focused its attention recently is whistleblower protections. In this Order against CBRE, Inc., the SEC brought settled charges against the commercial...
Reed Smith
Pariti Sutaria, organizer of TEDxCamden and graduate student at Rutgers School of Business, joins Iveliz Crespo and Bareeq Barqawi to discuss the fascinating world of TEDx...
Arnold & Porter
During 2023, the U.S. Securities and Exchange Commission (the SEC) continued its trend from 2022, actively engaging in regulatory rulemaking, providing disclosure guidance...
Bass, Berry & Sims
Despite potential headwinds from recent environmental, social and governance (ESG) marketing or product initiatives that received highly publicized backlash earlier this year, private equity (PE) firms...
Ankura Consulting Group LLC
The Standards are designed to be a baseline of sustainability-related corporate disclosures and provide investors and other stakeholders with a common framework...
Boom – Climate Week NYC is here and California Governor Gavin Newsom has kicked off the event with a major climate announcement that will certainly be welcomed by those pushing to see greater climate action.
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