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On 4 March 2021, the European Securities and Markets Authority (ESMA) published its final guidelines on disclosure requirements under the EU Prospectus Regulation. These guidelines will a...
On March 5, the SEC announced charges against AT&T for violating Regulation FD (Fair Disclosure), the agency’s marquee rule forbidding companies from “selectively disclosing” materi...
Yesterday, the Securities and Exchange Commission announced a newly created Climate and ESG Task Force in the Division of Enforcement. The announcement is a reminder for public companies,...
The Federal Reserve’s final guidance on board of directors’ effectiveness (Board Effectiveness Guidance) is a key milestone in its multi-year review of the practices of boards of dire...
SEC Chair Hearing. Yesterday, the U.S. Senate Committee on Banking, Housing, and Urban Affairs held a nomination hearing to consider Gary Gensler’s candidacy for Chair of the Securitie...
On 3 March 2021, the review of the UK listing regime chaired by Lord Jonathan Hill published its recommendations to the Chancellor of the Exchequer, Rishi Sunak, on how the UK can enhance...
Three data breach enforcement examples, two under the GDPR and one in the U.S., highlight differences across the Atlantic in the mechanics of fines and civil penalties, including how and ...
Yesterday, the SEC released a statement on climate change disclosures. The statement directs the SEC staff to review company disclosures against its 2010 climate change disclosure guidanc...
Industry Update
SEC Issues No-Action Relief under Section 17(f) of Investment Company Act and
Rule 17f-2
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Al...
Industry Update
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Allison Herren Lee Issues Statements on Empowering Enforcement and Contingent Settlement Offe...