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On September 13, 2021, the House Ways and Means Committee released its tax proposal (the Committee Proposal) for raising revenue to help fund President Biden’s Build Back Better Act.
The SEC has issued a broad request for information and public comment on the use of “digital engagement practices” and analytics technology by broker-dealers and investment advisers.
The SEC filed three enforcement actions against investment advisers and broker-dealers for cybersecurity deficiencies after the firms experienced incidents that exposed customer and clien...
Here is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions in...
Below is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions ...
Updated September 3, 2021Recently a purported shareholder of certain SPACs initiated derivative lawsuits asserting that the SPACs are investment companies under the Investment Company Act...
A Second Circuit panel affirmed a decision dismissing securities fraud claims against Danske Bank and its officers and directors. The panel unanimously held that plaintiffs had not pled ...
The SEC filed an enforcement action against a company for disclosing the risk that it “could” have a data privacy breach when it knew it already had experienced a breach. The action a...
The Federal Reserve, FDIC and OCC jointly issued proposed guidance on banking organizations’ risk management of third-party relationships. The proposed interagency guidance would replac...