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In this issue, we discuss, among other things, SEC exam priorities for registered investment advisers and recent enforcement actions involving private fund advisers.
In this issue, we discuss, among other things, SEC exam priorities for registered investment advisers and recent enforcement actions involving private fund advisers.
On 20 April 2022, the UK Financial Conduct Authority (FCA) announced new rules requiring listed companies to report information and disclose against targets regarding the representation o...
DOJ and FTC leaders recently discussed several key merger enforcement initiatives, which reflect a continued focus on aggressive policing of proposed transactions. Agency leaders appear ...
At a recent meeting of government enforcers and antitrust practitioners, Department of Justice (DOJ) officials outlined several initiatives reflecting a commitment to more aggressive crim...
Addressing climate change is one of the highest priorities of the Biden administration, and the pace of policy developments has been increasing and is expected to continue to increase ove...
At last week’s Enforcers Summit, leaders of various U.S. and international antitrust enforcement agencies set forth their enforcement priorities. The new heads of the U.S. antitrust age...
SPACs remain in the SEC’s crosshairs with this comprehensive rule proposal that expands the scope of underwriter liability, amends the scope of a safe harbor for financial projections a...
The SEC has proposed expanding what constitutes a “dealer,” which could have the effect of requiring many private funds and principal trading firms to register with the SEC.
In a pair of speeches last week, the Assistant Attorney General of DOJ’s Criminal Division emphasized its focus on compliance and announced that he has instructed his prosecutors to con...