On March 30, 2022, the U.S. Securities and Exchange Commission (the “Commission” or “SEC”) proposed new rules and amendments regarding special purpose acquisition companies (“SPACs”), shell companies, and disclosure related...more
4/1/2022
/ Corporate Counsel ,
Disclosure Requirements ,
Initial Public Offering (IPO) ,
Investment Company Act of 1940 ,
Non-GAAP Financial Measures ,
Proposed Amendments ,
Proposed Rules ,
PSLRA ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
The novel coronavirus (“COVID-19”) continues to afflict companies in numerous ways. In the case of public companies, disclosure duties are implicated. No two companies are identical, so there is no “one-size-fits-all”...more
On May 24, 2017, the United States Attorney’s Office for the Southern District of New York and the Securities and Exchange Commission (SEC) launched their latest criminal and civil salvos against prohibited insider trading by...more
6/9/2017
/ Attorney General ,
Centers for Medicare & Medicaid Services (CMS) ,
Enforcement Actions ,
Guilty Pleas ,
Hedge Funds ,
Indictments ,
Insider Trading ,
Medicare ,
Personal Benefit ,
Political Intelligence ,
Prescription Drugs ,
Securities and Exchange Commission (SEC) ,
STOCK Act ,
Tippees
In the last few years, Congress, the U.S. Securities and Exchange Commission (SEC), and the courts have significantly increased their efforts to grapple with insider trading in the realm of political intelligence. In 2012,...more
Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms -
On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more
10/8/2015
/ Broker-Dealer ,
Cease and Desist Orders ,
Corporate Governance ,
Cyber Crimes ,
Cyber Incident Reporting ,
Cyber Insurance ,
Cybersecurity ,
Data Breach ,
Data Breach Plans ,
Data Loss Prevention ,
Data Privacy ,
Data Protection ,
Data Security ,
Encryption ,
Enforcement Actions ,
Hackers ,
Identity Theft ,
Neither Admit Nor Deny Settlements ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Registered Investment Advisors ,
Risk Alert ,
Sanctions ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments ,
Training ,
Unauthorized Access ,
Vendors