On 12 October 2021, HM Treasury launched an independent expert review that will make recommendations on improving the UK capital raising process for listed companies. The UK Secondary Cap...

The Chinese authorities recently issued a notice regarding cryptocurrency activities, prohibiting (i) overseas cryptocurrency exchanges from servicing residents in mainland China and (ii)...

A proposed NYSE amendment would eliminate the requirement to include abstentions as “votes cast” against a company’s proposal. Instead, companies would be able to follow their own gov...

Below is our latest report on regulatory developments relating to private equity and investment management.  In this issue, we discuss, among other things, recent industry and SEC updates...

Below is our latest report on regulatory developments relating to private equity and investment management.  In this issue, we discuss, among other things, recent industry and SEC updates...

Federal banking regulators continue to signal their attention to banks’ relationships with third parties, and particularly with fintechs. We think that these developments should be of i...

The Federal Reserve, FDIC and OCC jointly issued a due diligence guide for community banks for assessing potential relationships with fintechs.  Our client update examines the implication...

An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for trading firms that use alternative data and public companies that sell...

On September 20, a divided Ninth Circuit panel broke with nearly 50 years of precedent in holding that investors could challenge the accuracy of Slack’s registration statement even if t...

Financial services regulatory reform continues to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. As we...