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Buckingham, Doolittle & Burroughs
As you might be aware, Federal legislation known as the "Corporate Transparency Act" (the "Act") went into effect as of the beginning of this year. The Act requires many businesses...
Ogletree, Deakins, Nash, Smoak & Stewart
The U.S. Securities and Exchange Commission (SEC) and other financial regulators are targeting regulated entities over their employees' use of personal messaging apps and other off-channel...
Kelley Drye & Warren LLP
On April 4, 2024, the U.S. Securities and Exchange Commission (SEC) issued a stay of its final rules on climate-related disclosures.
Cadwalader, Wickersham & Taft LLP
Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.
WilmerHale
The imposition of an independent compliance monitor continues to be a favored tool of the government in resolving corporate enforcement matters.
Mayer Brown
On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.
K&L Gates
On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve certain electronic communications.
Vorys Sater Seymour & Pease
On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted a final rule that will require public companies to provide certain climate-related information...
Lowenstein Sandler
On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding "off-channel communications."
Akin Gump Strauss Hauer & Feld LLP
The Department of Health & Human Services' Office of Inspector General (HHS OIG) and U.S. Department of Justice (DOJ) have published important guidance and recommendations for pharmaceutical...
Schulte Roth & Zabel LLP
The government's latest effort to make it harder for bad actors to hide ill-gotten gains through shell companies or other complicated ownership structures is poised to significantly impact the private fund industry.
Small Entities & The Corporate Transparency Act: Managing The Headache Of New Compliance Regulations
Crivello, Nichols & Hall
The Corporate Transparency Act ("CTA") became effective January 1, 2024, and will affect millions of small entities throughout the United States.
Bass, Berry & Sims
In an article for Middle Market Growth, Bass, Berry & Sims attorneys Chris Climo and Katie Smalley examined certain key considerations for middle market owners and private equity (PE)...
Lewis Brisbois Bisgaard & Smith LLP
In a landmark case, a jury has found a biotech executive guilty of insider trading for betting on a competitor's stock, leveraging confidential information from his own company.
Katten Muchin Rosenman LLP
Editorial Note: In follow up to our summary on the SEC's new private fund adviser rules, Katten attorneys share their views on implementation questions related to a variety of new requirements...
Goodwin Procter LLP
The Securities and Exchange Commission (SEC) adopted reforms relating to investment advisers operating exclusively through the internet; the Financial Crimes Enforcement...
Foley & Lardner
Just as securities lawyers and public company compliance departments finished reading 800 plus pages of an adopting release and determining how the rules apply to numerous public companies...
Foley & Lardner
Well, Easter has come, which can only mean that it is time for our spring holiday compliance special! In honor of the season, here are some interesting facts...
Hall Benefits Law
Oklahoma Governor Kevin Stitt has issued an executive order to severely restrict inclusion, equity, and diversity (IE&D) programs across the state.
Duane Morris LLP
While Judge Burke's decision in the Alabama case explicitly states that it is not based on the Fourth and Fifth
Amendments and the various rights and concepts arising thereunder, the allegations...
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