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In a joint rulemaking, FinCEN and the SEC issued a proposed rule that would require certain investment advisers to establish risk-based customer identification programs.
In an important step forward, the House is set to vote on a bill that would establish a comprehensive regulatory framework for digital assets and offer important protections for customers...
The Officer of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC) and the Federal Housing Finance Agency (FHFA) have re-proposed the same rule from 20...
The U.S. Congress attached a range of unrelated measures to the recent military aid package to Taiwan, Ukraine, and Israel extending the statute of limitations for sanctions violations, r...
On April 24, 2024, the Takeover Panel published consultation PCP 2024/1, in which it proposes to narrow the scope of companies to which the Takeover Code applies. The proposed amendments ...
In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketing Rule, and recent enforcement actions involving, among other thi...
On April 19, 2024, the U.S. Court of Appeals for the Ninth Circuit affirmed the dismissal of a putative securities class action. The plaintiff’s complaint relied heavily on allegations...
On April 23, 2024, the Federal Trade Commission finalized its rule banning almost all non-competes in employment agreements. The final rule includes limited exceptions for existing non-c...
The DOJ Criminal Division announced a new individual self-disclosure pilot program designed to “up the ante” on companies calculating the risk of not disclosing misconduct. The progr...
In Macquarie Infrastructure Corp. v. Moab Partners, L.P., the Supreme Court held that an issuer’s nondisclosure of information required by Item 303 of Regulation S-K cannot support a cl...