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2019-20 Compliance Developments And Calendar For Private Fund Advisers
While the Securities and Exchange Commission (SEC) brought several enforcement actions in 2018-19, the most significant new developments were published interpretations and alerts.
United States
16 Oct 2019
SEC Adopts New Rule 163B To Permit "Test-The-Waters" Communications For All Issuers
On September 25, 2019, the Securities and Exchange Commission (SEC) adopted new Rule 163B under the Securities Act of 1933 (Securities Act) ...
United States
8 Oct 2019
Red Notice Newsletter - August 2019
On August 29, 2019, The Securities and Exchange Commission (SEC) instituted cease-and-desist proceedings against California based Juniper Networks, Inc.
United States
11 Sep 2019
SEC Applies Fiduciary Duties Analysis To Voting Obligations
On August 21, 2019, the Securities and Exchange Commission (SEC) voted 3 to 2 to adopt new interpretive guidance (the "Voting Interpretation") applicable to investment advisers regarding their
United States
9 Sep 2019
Corp Fin Publishes New C&DIs Clarifying Inline XBRL Rules
eXtensible Business Reporting Language (XBRL), the open international standard for digital business reporting,
United States
27 Aug 2019
SEC Proposes To Modernize Disclosures Of Business, Legal Proceedings, And Risk Factors Under Regulation S-K
In an effort to improve the readability of disclosure documents, as well as discourage repetition and disclosure of information that is not material, the Securities and Exchange Commission (SEC)
United States
26 Aug 2019
Form SHL: Reports By U.S. Issuers And Others On Foreign Ownership Due August 30, 2019
The U.S. Department of the Treasury requires U.S. issuers—including U.S.-resident investment funds1—to report foreign residents' holdings of U.S.
United States
22 Aug 2019
SEC Proposal Would Relax ICFR Auditor Attestation Requirement For Certain Smaller Reporting Companies
In an effort to reduce compliance costs for public companies, the Securities and Exchange Commission (SEC) proposed amendments
United States
19 Aug 2019
SEC Adopts New Interpretation Of Fiduciary Duty
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted a comprehensive interpretation (the "Interpretation")1 of the fiduciary duties
United States
25 Jun 2019
SEC OCIE Issues Guidance On Advisors' And Broker-Dealers' Cloud-Based And Other Network Storage Of Customer Data
On May 23, 2019, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE)
United States
11 Jun 2019
SEC Rules Updated To Modernize And Simplify Disclosures: Act FAST To Update Upcoming Form 8-Ks, 10-Qs And 10-Ks
Recently, the Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to modernize and simplify disclosure requirements in Regulation S-K (and related rules and forms).
United States
22 Apr 2019
U.S. Supreme Court: Disseminators Of False Statements With Intent To Defraud Can Be Held Liable Under Securities Exchange Act Rule 10b-5
On March 27, 2019, the U.S. Supreme Court in Lorenzo v. Securities and Exchange Commission, No. 17-1077, issued a 6-2 decision holding that disseminating false
United States
12 Apr 2019
Energy SPACs In Pursuit Of An Acquisition: Spring 2019 Survey
A special purpose acquisition company (SPAC) is a blank-check company formed for the purpose of effecting a merger.
United States
8 Apr 2019
DOJ Assistant FCPA Chief Discusses "Meat-And-Potatoes" Cases, A "Global Awakening" And The Impact Of New Technologies On Evaluations Of Corporate Compliance
The Assistant Chief of the U.S. Department of Justice (DOJ), Criminal Division, Fraud Section's Foreign Corrupt Practices Act (FCPA) Unit spoke at an event presented by Dow Jones Risk & Compliance on Tuesday, March 12.
United States
29 Mar 2019
Top 10 Topics For Directors In 2019: SEC Regulation And Enforcement
The SEC has adopted and proposed rule changes to reduce burdens on public companies and encourage broader securities ownership by "Main Street" investors.
United States
29 Mar 2019
PCAOB Amends Process For Appointing And Removing Its Hearing Officers
On January 29, 2019, the Public Company Accounting Oversight Board (PCAOB or "Board") adopted amendments to its bylaws and rules that make the PCAOB's appointment and removal of its hearing officers
United States
18 Mar 2019
Top 10 Topics For Directors In 2019: Cybersecurity
With threats of nation-states infiltrating supply chains and landmark laws being passed, cybersecurity and privacy are critical aspects of director oversight. Recent court decisions and speeches
United States
13 Mar 2019
Review Smaller Reporting Company Status In Light Of New "Smaller Reporting Company" Definition And Updated SEC Staff C&DIs
As public companies prepare to file their annual reports on Form 10-K for the year ended December 31, 2018, they should consider whether they qualify for smaller reporting company ("SRC")
United States
4 Mar 2019
Diversity Disclosure Requirements: SEC Staff Issues New C&DIs Clarifying Regulation S-K Requirements
Last week, the Staff of the DCF of the SEC released new compliance and disclosure interpretations, which clarify disclosure requirements relating to diversity under Item 401(e) and Item 407(c)(2)(vi) of Regulation S-K.
United States
18 Feb 2019
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