Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights September 30, 2021 Client Update Private Equity Regulatory Update – September 2021 Below is our latest report on regulatory developments relating to private equity and investment management. In this issue... September 29, 2021 Client Update Bank relationships with fintechs Federal banking regulators continue to signal their attention to banks’ relationships with third parties, and particular... September 29, 2021 Client Update SEC enforcement action highlights scrutiny of "alternative data" and trading firms that use it An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for tradi... September 29, 2021 Client Update Know your fintech: Banking agencies issue guide on conducting fintech due diligence The Federal Reserve, FDIC and OCC jointly issued a due diligence guide for community banks for assessing potential relatio... September 29, 2021 Client Update SEC enforcement action highlights scrutiny of "alternative data" and trading firms that use it An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for tradi... September 23, 2021 Client Update Ninth Circuit panel allows Slack securities claims to advance On September 20, a divided Ninth Circuit panel broke with nearly 50 years of precedent in holding that investors could cha... September 22, 2021 Client Update Davis Polk Financial Services Regulatory Reform Tool – Fall Focus Edition (2021) Financial services regulatory reform continues to be active in 2021, with the Biden Administration focused on activity at ... September 20, 2021 Client Update It’s all fun and games: SEC requests information on digital engagement practices The SEC has issued a broad request for information and public comment on the use of “digital engagement practices” and... September 3, 2021 Client Update SEC’s Investor Advisory Committee recommends changes to Rule 10b5-1 trading plans Changes are on the horizon for a risk management tool widely used by both insiders and companies September 1, 2021 Client Update SEC sanctions three entities for cybersecurity policies and procedures failures The SEC filed three enforcement actions against investment advisers and broker-dealers for cybersecurity deficiencies afte... Load More
September 30, 2021 Client Update Private Equity Regulatory Update – September 2021 Below is our latest report on regulatory developments relating to private equity and investment management. In this issue...
September 29, 2021 Client Update Bank relationships with fintechs Federal banking regulators continue to signal their attention to banks’ relationships with third parties, and particular...
September 29, 2021 Client Update SEC enforcement action highlights scrutiny of "alternative data" and trading firms that use it An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for tradi...
September 29, 2021 Client Update Know your fintech: Banking agencies issue guide on conducting fintech due diligence The Federal Reserve, FDIC and OCC jointly issued a due diligence guide for community banks for assessing potential relatio...
September 29, 2021 Client Update SEC enforcement action highlights scrutiny of "alternative data" and trading firms that use it An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for tradi...
September 23, 2021 Client Update Ninth Circuit panel allows Slack securities claims to advance On September 20, a divided Ninth Circuit panel broke with nearly 50 years of precedent in holding that investors could cha...
September 22, 2021 Client Update Davis Polk Financial Services Regulatory Reform Tool – Fall Focus Edition (2021) Financial services regulatory reform continues to be active in 2021, with the Biden Administration focused on activity at ...
September 20, 2021 Client Update It’s all fun and games: SEC requests information on digital engagement practices The SEC has issued a broad request for information and public comment on the use of “digital engagement practices” and...
September 3, 2021 Client Update SEC’s Investor Advisory Committee recommends changes to Rule 10b5-1 trading plans Changes are on the horizon for a risk management tool widely used by both insiders and companies
September 1, 2021 Client Update SEC sanctions three entities for cybersecurity policies and procedures failures The SEC filed three enforcement actions against investment advisers and broker-dealers for cybersecurity deficiencies afte...