The CFTC and FinCEN recently announced a settlement with BitMEX for $100 million to resolve an enforcement action related to the exchange’s failure to register as a futures commission m...

Nasdaq’s new board diversity rules, approved by the SEC on August 6, will require listed companies to have diverse board members or explain why they do not. In addition, the rules will ...

The Federal Trade Commission has announced that a “tidal wave” of HSR filings has strained its capacity to review mergers, and that, for transactions the FTC is not able to investigat...

The FCA has published a Policy Statement containing its final rules and changes to the Listing Rules for SPACs seeking to list on the main market of the London Stock Exchange. These rules...

On July 23, 2021, a Ninth Circuit panel vacated a district court order appointing a lead plaintiff in a consolidated securities fraud action. The panel found that the district court impro...

Here is our latest report on regulatory developments relating to private equity and investment management.  In this issue, we discuss, among other things, recent SEC enforcement actions i...

Here is our latest report on regulatory developments relating to private equity and investment management.  In this issue, we discuss, among other things, recent SEC enforcement actions i...

The Financial Stability Board has issued a consultation report with policy proposals to enhance money market fund resilience that are largely consistent with those under consideration in ...

The SEC continued its recent focus on SPACs by filing charges against both sides of a planned but not yet completed SPAC merger, including charges against the SPAC and its CEO for adoptin...

Financial services regulatory reform will continue to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy.  ...