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In this issue we discuss, among other things, SEC Division of Examinations priorities for 2023 and a recent enforcement action involving an adviser’s alleged conflict of interest with r...
In this issue we discuss, among other things, SEC Division of Investment Management guidance regarding registered funds and differential advisory fee waivers, SEC Division of Examinations...
In 2022, China amended its Anti-Monopoly Law (AML) for the first time in fourteen years. This “New AML” significantly increases penalties for antitrust violations, provides greater f...
On February 22, 2023, the NYSE and Nasdaq released their respective versions of a proposed rule that implements the SEC’s clawback rule mandated by the Dodd-Frank Act. Both versions hew...
On February 16, the Ministry of Commerce of the People’s Republic of China announced its first ever use of the Unreliable Entity List, designating Lockheed Martin Corporation and Raythe...
The Investment Association, the trade body for UK investment managers, has published updated guidelines setting out the expectation of its members where premium listed companies seek shar...
On January 31, 2023, the Hong Kong Monetary Authority published the conclusions to its earlier consultation on stablecoin regulations. The consultation conclusions set out the HKMA’s hi...
This update outlines important changes that take effect today to the scope of those parties who are presumed to be acting in concert with an offeror or offeree. It also recaps certain cha...
The SEC’s proposed amendment would expand the current custody rule to cover a broader array of client assets and advisory activities and impose new custodial protections on client asset...