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FINRA announced that new rules governing the registration and qualification of member firms’ associated persons will become effective on October 1, 2018. The new rules will require subs...
Yesterday, the SEC Staff issued a new Staff Legal Bulletin (SLB) on shareholder proposals. The most striking impact it will likely have initially is on the ordinary business exclusion, R...
The New York City Commission on Human Rights (CCHR) enacted Local Law 67 in May 2017, which prohibits employers from inquiring into the salary history of job applicants when interviewing ...
Industry Update
SEC Announces Cybersecurity Enforcement Initiatives
SEC Chairman Issues Statement on Cybersecurity
ESG in Private Equity: What Every GP Needs to Know About Public Pension...
Industry Update
SEC Announces Cybersecurity Enforcement Initiatives
SEC Chairman Issues Statement on Cybersecurity
ESG in Private Equity: What Every GP Needs to Know About Public Pension...
On October 26, 2017, Stephanie Avakian and Steven Peikin, Co-Directors of the U.S. Securities and Exchange Commission’s Division of Enforcement, provided remarks at the 2017 Securities ...
Buried in the latest Treasury Report, the third in a series, are important gems on the Volcker Rule and on the concept of controlling influence.[1] Of the three interesting new recommend...
China’s leading arbitration institution for commercial disputes recently issued new rules that mark China’s first attempt to establish a domestic arbitral institution for internationa...
ISS is seeking public comment on three policies that will impact U.S. companies with the comment period to close on November 9. It will release final policy updates, which will contain m...
On October 23, the SEC approved a new PCAOB audit standard that requires the auditor’s report to identify and discuss critical audit matters (CAMs) encountered in the audit. The new sta...