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The SEC requested public comments and information on whether index providers, model portfolio providers and pricing services are acting as investment advisers under the Advisers Act, incl...
In March 2022, the SEC proposed a sweeping set of rules relating to SPACs, SPAC IPOs and de-SPAC transactions that the SEC indicated would ensure “greater transparency and more robust i...
On June 8, 2022, the SEC requested comments for the third time on its proposed clawback rule, which is required to be promulgated under the Dodd-Frank Act. As part of this reopening, the ...
SEC Chair Gensler has directed SEC staff to consider significant changes to the pricing and execution of securities orders, including possible auction requirements for retail stock orders.
Last week, the SEC announced charges against Tenaris for violating the FCPA. The resolution, which included a payment of $78 million, is yet another follow-on case involving the Brazilian...
On 27 May 2022, following an earlier consultation, the UK’s Financial Conduct Authority (FCA) published new and revised procedural and technical guidance on the UK prospectus regime and...
In this issue, we discuss, among other things, an SEC rule proposal relating to ESG disclosures and a recent enforcement action relating to alleged ESG disclosure failures.
In this issue, we discuss, among other things, an SEC rule proposal relating to ESG disclosures and a recent enforcement action relating to alleged ESG disclosure failures.
On 26 May 2022, the FCA published a discussion paper seeking further views as to how it can make the UK listing regime and the applicable listing rules more effective, easier to understan...