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Last week, the Securities and Exchange Commission proposed broad changes to the current private offering framework. Recognizing the growing market for private investments, this is the lat...
U.S. and global stock markets have experienced a significant downturn and increased volatility stemming from the coronavirus (COVID-19), this weekend’s shock in the commodity markets an...
On January 30, 2020, the CFTC proposed a rule that largely codifies no-action relief the Commission previously issued related to the treatment of: (1) package transactions; (2) error trad...
Now is the season when many public companies are planning for and getting ready to finalize, print and mail a proxy statement for the annual meeting. What if, unfortunately, a company nee...
On February 26, a long-running legal battle over the scope of the Foreign Corrupt Practices Act (“FCPA”) took another turn when a federal trial court judge ordered that former Alstom ...
Rules and Regulations
Proposed Amendments to the Volcker Rule
SEC Issues Order Granting Exemptive Relief for Multi-Manager Fund Board Approval of Sub-Advisory Agreements Without In-Pe...
Rules and Regulations
Proposed Amendments to the Volcker Rule
Industry Update
SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resi...
It is obvious that the risks presented by the novel coronavirus (COVID-19) transcend “business as usual” for market participants. How should Boards be approaching the risks and opport...
On February 7, 2020, the Office of the Attorney General of California (CAL AG) released a modified version of its proposed regulations, which it further modified on February 10, 2020, und...
On February 18, 2020, the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) imposed blocking sanctions pursuant to Executive Order (“E.O.”) 13850 against Rosn...