With environmental, social, and governance (ESG) principles garnering increased attention in corporate circles in recent years, there has been an accompanying rise in demand for analytical products that evaluate companies’...more
5/21/2024
/ Asset Management ,
Conflicts of Interest ,
Corporate Governance ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Investors ,
Private Equity Funds ,
Regulatory Agenda ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Stakeholder Engagement
On January 10, 2024, the U.S. Securities and Exchange Commission (“SEC”) approved eleven applications for spot exchange-traded funds (“ETFs”) tracking Bitcoin. This landmark moment for the crypto asset industry has been over...more
1/15/2024
/ Appeals ,
Bitcoin ,
Cryptoassets ,
Cryptocurrency ,
ETFs ,
Investors ,
Money Laundering ,
Ransomware ,
Securities ,
Securities and Exchange Commission (SEC) ,
Terrorist Financing
The US Securities and Exchange Commission (“SEC”) recently finalized sweeping new rules for private fund advisers (the “PFA Rules”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The PFA Rules...more
10/9/2023
/ Audits ,
Clawbacks ,
Compliance ,
Custody Rule ,
Exempt Reporting Advisers (ERAs) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Policies and Procedures ,
Private Funds ,
Quarterly Report ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Unregistered Brokers
Just barely two weeks ago, we wrote about the half-victory for Ripple Labs in its ongoing litigation with the Securities and Exchange Commission (“SEC”), in which Judge Analisa Torres granted partial summary judgment in favor...more
8/8/2023
/ Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Howey ,
Investment Contract ,
Investors ,
Partial Summary Judgments ,
Personal Jurisdiction ,
Popular ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Tokens ,
Securities Violations