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CFIUS’s recently released guidelines describe the factors considered by the Committee in imposing civil monetary penalties and other remedies and signal a stricter enforcement posture b...
The SEC’s new rule and amendments require registered funds to comply with enhanced and standardized reporting requirements on proxy voting and require institutional investment managers ...
This client update highlights certain considerations that may be relevant to estate planning clients looking ahead to year-end, including information about 2023 federal estate, gift and G...
The SEC adopted the final “clawback rule” mandated by the Dodd-Frank Act requiring public companies to establish and enforce policies to recover excess incentive compensation from exe...
The SEC’s new amendment requires that mutual funds and exchange-traded funds highlight certain key information in annual and semi-annual shareholder reports and provide additional fee a...
The SEC’s amendments modernize recordkeeping requirements for broker-dealers, while applying the revised requirements to security-based swap dealers for the first time.
The SEC’s proposed new oversight rule and rule amendments under the Investment Advisers Act of 1940 (Advisers Act) prohibit registered investment advisers from outsourcing certain servi...
In Ultra Petroleum, the Fifth Circuit became the first circuit court to determine that claims for payment of a make-whole premium are disallowed under section 502(b)(2) of the Bankruptcy ...