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Judge Rakoff’s Nine West decision allowed fiduciary duty claims to proceed against LBO seller directors and officers based on anticipated subsequent transactions by purchaserJudge Danie...
The Anti-Money Laundering Act of 2020 implements the most extensive revisions to anti-money laundering law since the USA PATRIOT Act of 2001. The changes will affect both traditional fin...
Congress overrode the President’s Veto of the National Defense Authorization Act. Among other things, the new law expands to 10 years the time for the SEC to bring disgorgement claims ...
Rules and RegulationsSEC Modernizes Framework for Registered Fund Valuation PracticesSEC Adopts Modernized Marketing Rule for Investment AdvisersIndustry UpdateOCIE Issues Risk Alert on O...
On December 28, 2020 the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) released Frequently Asked Questions (FAQs) relating to Executive Order 13959, “Addre...
COVID-19 Update
Rules and Regulations
SEC Adopts Modernized Marketing Rule for Investment Advisers
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of I...
The FDIC has issued a final rule to formalize longstanding expectations it has had for the parent company of a new industrial loan company (ILC). The FDIC adopted the proposed rule issue...
On December 21, 2020, ISS released its updated compensation-related FAQs for 2021. For U.S. companies, this set of guidance consists of ISS’ Compensation Policies FAQ, Equity Compensat...
This memo summarizes the amendments to the Federal Reserve’s emergency powers, the Paycheck Protection Program, other support for small businesses, and certain other provisions included...
In a December 22, 2020 release, the SEC adopted amendments to create a single rule that will replace the current advertising and cash solicitation rules under the Investment Advisers Act ...