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On May 1, 2018, the Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) issued two amended Ukraine/Russia related General Licenses (“GLs”): GL 12B, “Authori...
Last week the U.S. Department of Labor (DOL) issued a bulletin (the Bulletin) on its prior interpretations related to considerations of ESG factors by ERISA plan fiduciaries. Since then ...
Rules and Regulations
Spending Bill Includes Reforms Impacting Business Development Companies
SEC Proposes Enhanced Standards for Advice to Retail Investors
Industry Update
Dalia ...
Davis Polk has submitted a comment letter on the Federal Reserve’s proposed amendments to its guidelines on internal appeals of material supervisory determinations (the Proposal). Whil...
Rules and Regulations
Spending Bill Includes Reforms Impacting Business Development Companies
SEC Proposes Enhanced Standards for Advice to Retail Investors
Industry Update
Dalia ...
On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”), a registered broker-dealer, and two of its officers for alleged...
The first quarter of 2018 saw continued significant securities-suit filing activity against life sciences companies with more than 10 actions filed, including several filed by some of the...
Yahoo! Order Is SEC’s First Cyber-Disclosure Enforcement Action
On April 24, the Securities and Exchange Commission charged Altaba Inc., formerly Yahoo! Inc., with misleading sharehold...
On 24 April 2018, the Stock Exchange issued the Conclusions to the Consultation Paper on A Listing Regime for Companies from Emerging and Innovative Sectors, launching with effect from 30...
On April 20, 2018, a panel of Ninth Circuit judges held that Section 14(e) of the Securities Exchange Act of 1934 does not require a showing that a defendant acted with scienter, and that...