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Last week, DOJ announced much-anticipated guidance on compensation clawbacks and the use of messaging apps, as well as modifications to its monitorship policies. The guidance provides com...
Following a review involving its legal and accounting committee and experts from the legal and investor community, the British Private Equity and Venture Capital Association has recently ...
On February 22, 2023, in their roles on the Attorney General’s Advisory Committee, the U.S. Attorneys for the Eastern District of New York and the Southern District of New York announce...
In this issue we discuss, among other things, SEC Division of Examinations priorities for 2023 and a recent enforcement action involving an adviser’s alleged conflict of interest with r...
In this issue we discuss, among other things, SEC Division of Investment Management guidance regarding registered funds and differential advisory fee waivers, SEC Division of Examinations...
In 2022, China amended its Anti-Monopoly Law (AML) for the first time in fourteen years. This “New AML” significantly increases penalties for antitrust violations, provides greater f...
On February 22, 2023, the NYSE and Nasdaq released their respective versions of a proposed rule that implements the SEC’s clawback rule mandated by the Dodd-Frank Act. Both versions hew...
On February 16, the Ministry of Commerce of the People’s Republic of China announced its first ever use of the Unreliable Entity List, designating Lockheed Martin Corporation and Raythe...
The Investment Association, the trade body for UK investment managers, has published updated guidelines setting out the expectation of its members where premium listed companies seek shar...