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The Securities and Exchange Commission’s (SEC) Division of Examinations (the Staff) recently issued a risk alert reminding broker-dealers (firms) of their obligations under anti-money l...
This week, the staff of the SEC issued a statement expressing a view that, despite the widespread practice to the contrary, most warrants issued in connection with a SPAC transaction shou...
The U.S. federal banking agencies have issued an interagency statement addressing industry questions on model risk management and AML compliance. Specifically, the statement clarifies th...
On April 2nd, the SEC approved NYSE rule changes that will relax current requirements to obtain shareholder approval prior to certain equity issuances. The changes will facilitate capital...
On April 5, 2021, the U.S. Supreme Court issued a long-awaited decision in Google LLC v. Oracle America, Inc., holding that Google’s copying of certain portions of Oracle’s Java SE AP...
The Financial Crimes Enforcement Network of the U.S. Department of the Treasury has begun a rulemaking to implement the beneficial ownership reporting provisions of the new Corporate Tran...
A recent guilty conviction, after a jury trial, shows how complex and fraught the zigzag path to marijuana legalization is in the payments space. At a time when the federal government has...
On March 23-26, 2021, the American Bar Association’s Section of Antitrust Law held its annual Spring Meeting virtually. This annual event—which brings together government enforcers, ...
Following the White House statement on January 20, 2021 that effectively froze pending agency regulations, the amended marketing rule under the Advisers Act has now been published in the ...
On 26 March 2021, the European Commission published new guidance on when it will accept referrals from EU National Competition Authorities to review deals involving potential “killer ac...