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The Federal Reserve OIG issued a report on SVB’s failure. Media reports have described it as nearly identical to the Barr Report. The report is more critical of the supervisory staff. I...
On 16 October 2023, the UK government announced the withdrawal of draft corporate reporting regulations that were expected to introduce new corporate reporting obligations under the Compa...
The FDIC proposed enforceable guidelines on corporate governance and risk management that would apply to all state non-member banks with assets greater than $10 billion. The proposal wou...
On October 11, 2023, the SFC released a consultation paper proposing guidelines for market soundings (the “Proposed Guidelines”). The Proposed Guidelines apply to both sell-side and b...
The SEC charged six public company insiders for failing to timely file reports under Section 16 of the Exchange Act and five public companies for contributing to the filing failures by in...
On Wednesday, Deputy Attorney General Monaco announced new DOJ guidance providing a safe harbor to avoid criminal prosecution for companies that identify and disclose misconduct that occu...
This second edition of the market-leading comprehensive guide to the current state of the law on make-wholes in bankruptcy includes updates for new case law developments. Few topics gener...
The UK government has retained the ability for UK companies listed on US stock exchanges to prepare financial statements under US GAAP for a transitional period, and has proposed draft le...
In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examinations, and recent enforcement actions involving advisers, conflic...
The SEC has announced settlement of enforcement actions against two companies stemming from each company’s use of separation agreements that allegedly violated Dodd-Frank whistleblower ...