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Mintz
The U.S. Securities & Exchange Commission ("SEC") recently found that an investment adviser mischaracterized its integration of Environmental, Social, and Governance ("ESG")...
Cadwalader, Wickersham & Taft LLP
Jason Halper and Adam Magid of Cadwalader, Wickersham & Taft LLP look at several cases that illustrate the US courts' inconsistency in allowing securities claims to proceed based on beliefs or opinions.
Reed Smith
California Governor Gavin Newsom recently pledged to sign two groundbreaking climate disclosure bills into law.
Mayer Brown
Two new bills have been passed in California as part of a "Climate Accountability Package" that require US-based
companies "doing business"...
K&L Gates
This expanded scope would apply irrespective of whether those characteristics describe an investment security or an investment strategy.
Cooley LLP
I don't normally study defense appropriations bills, but the folks at thecorporatecounsel.net blog apparently do. And good thing, too. As they point out, Section 6081 of the new National Defense Authorization Act...
Lowenstein Sandler
On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts of interest and threats to investor protection pervasive in the private funds industry (the Private Fund Adviser Rules).
Mayer Brown
On September 21, 2023, the U.S. Securities and Exchange Commission's (the "SEC") Investor Advisory Committee ("IAC") met to consider certain matters included...
Mayer Brown
On June 9, 2023, the Securities and Exchange Commission approved the clawback listing standards proposed by the New York Stock Exchange and The Nasdaq Stock Market...
Ankura Consulting Group LLC
In today's digitally driven world, cyber threats pose a significant risk to organizations of all sizes and industries. As stewards of their companies' success and security...
Goodwin Procter LLP
On September 5, 2023, almost one year since its first flurry of similar Custody Rule actions, the SEC announced settlements with five SEC-registered investment advisers to private funds with respect to alleged violations of Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule) and related Form ADV violations.
Goodwin Procter LLP
The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged violations of Rule 206(4)-1 under the Investment Advisers Act.
Fenwick
Following the death of George Floyd and mass protests against racial inequity in 2020 culminating years of slowly building stakeholder pressure on various aspects of diversity...
Bass, Berry & Sims
In a recent article for Agenda, I commented on the comment letters from the Securities and Exchange Commission (SEC) related to non-GAAP measures and what this focus could mean for audit committees.
Withers LLP
Data Innovation, Privacy and Cybersecurity Partner Doron Goldstein discussed the Securities and Exchange Commission's (SEC) adoption of cyber incident reporting rules...
Polsinelli LLP
The Blockchain Bi-Weekly presented by the Polsinelli Blockchain+ team is a rundown of some of the key stories in the Web3, blockchain and crypto ecosystems curated by our attorneys navigating the intersections...
Bass, Berry & Sims
For many employees, equity – as a component of their compensation package – is as valuable to them as their ability to access the equity's value. For private companies, valuation and tax issues present unique...
Kramer Levin Naftalis & Frankel LLP
On Sept. 20, the Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1, more commonly known as the "Names Rule," under the Investment Company Act of 1940(Investment Company Act).
Cooley LLP
One area where SEC Enforcement appears to have focused its attention recently is whistleblower protections. In this Order against CBRE, Inc., the SEC brought settled charges against the commercial...
Linklaters
The California governor is expected to sign the laws shortly.
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