Our lawyers produce a wealth of substantive, timely and practical guidance and resource materials. Subscribe to receive updates based on your interests.
Rules and Regulations
Updated FAQs on Modernized Registered Investment Company Reporting
SEC Staff Statement Regarding Termination of Exemptive Relief and Withdrawal of Staff Letters ...
The Executive Order on Climate-Related Financial Risk is the latest significant step by the Biden Administration to analyze and mitigate the risks that climate change poses to the U.S. ec...
The House of Representatives has passed a bill on a bipartisan basis that would be the first statute directly banning insider trading in the securities markets. The bill largely would pr...
The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity Reports (SARs) reinforces the SEC’s focus on anti-money laun...
The Fed’s recent proposal marks the latest development on one of the most important policy questions for the U.S. financial system today: who is entitled to have a master account? A mas...
On 30 April 2021, the Financial Conduct Authority (FCA) published a consultation paper on proposed changes to the Listing Rules that apply to special purpose acquisition companies (SPACs)...
Rules and Regulations
SEC Staff Statement on Withdrawal and Modification of Staff Letters Related to Rulemaking on Use of Derivatives and Certain Other Transactions by Registered Funds...
Litigation
SEC Settles with Investment Adviser Principals Responsible for Alleged Misstatements and Omissions Regarding Due Diligence, Valuation, and Conflicts of Interest
On April 22, 2021, the White House published the U.S. International Climate Finance Plan, as called for in President Biden’s January 2021 “Tackling the Climate Crisis at Home and Abro...