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The SEC has proposed expanding what constitutes a “dealer,” which could have the effect of requiring many private funds and principal trading firms to register with the SEC.
In a pair of speeches last week, the Assistant Attorney General of DOJ’s Criminal Division emphasized its focus on compliance and announced that he has instructed his prosecutors to con...
In this issue, we discuss, among other things, recent SEC proposals to enhance private fund investor protections and a recent enforcement action involving a private equity fund adviser.
In this issue, we discuss, among other things, recent SEC proposals to enhance private fund investor protections and a recent enforcement action involving a private equity fund adviser.
The Ninth Circuit last week issued a decision confirming that companies working through product-specific issues do not need to provide investors with “real-time updates” about every a...
The long-expected but controversial proposal would require disclosure of climate-related risks, greenhouse gas emissions and climate-related financial metrics. If adopted, the proposal wo...
This update summarizes the past two weeks’ key sanctions developments in the United States, European Union, and United Kingdom in response to Russia’s invasion of Ukraine.
In a welcome development for so-called “tough legacy” contracts, Congress has passed legislation with the goal of establishing a clear and uniform nationwide process for replacing LIB...
President Biden’s March 9, 2022 Executive Order asserts that technological advances and the rapid growth of crypto markets “necessitate an evaluation and alignment of the United State...