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At an SEC open meeting today, the Staff of the SEC recommended to the Commission what Chair White characterized as part of its “modest but important work” toward the disclosure effect...
IN THIS ISSUE:
News and Calendar
The Third Country Passport under MifIR – Panacea for Post Passport Pain?
The Impact of Brexit on U.K. payment service providers
Lex et Brexit is our ...
The House voted 243-180 yesterday to add language to a fiscal year spending bill that would bar the SEC from writing rules to require universal ballots in proxy contests. The spending bil...
On June 29, 2016, the Federal Trade Commission (“FTC”) announced an increase in the maximum civil penalties it may impose for violations of the Hart-Scott-Rodino Act (“HSR Act”) a...
On Friday, the SEC approved NASDAQ rules that require its listed companies to publicly disclose compensation or other payments by third parties to board members or nominees.
NASDAQ made t...
Chair White’s speech before the International Corporate Governance Network (ICGN) discussed the SEC’s role in U.S. public company governance and focused on the agency’s efforts on b...
Spurred by a provision in the Dodd-Frank Act of 2010, in August 2012 the SEC adopted rules requiring companies to disclose payments made to governments in order to further oil, natural ga...
SEC Rules and Regulations
SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act
Industry Update
Legal Implications of Brexit
FinCEN’s Fi...
On June 16, the SEC proposed rules aimed at overhauling and modernizing disclosure requirements for companies with material mining operations (excluding oil and gas) as part of its ongoin...
On June 23, 2016, the UK electorate voted to leave the European Union. The referendum was advisory rather than mandatory and does not have any immediate legal consequences. It will, howev...