The SEC’s Division of Examinations (the “Division” or “EXAMS”) recently published its annual examination priorities for 2023. The Examination Priorities memorandum sets out key areas the staff will focus on during its...more
The mass shootings in Uvalde, Texas and Buffalo, New York sparked renewed interest in gun control reform in the United States. On June 12, 2022, a bipartisan group of United States Senators announced an agreement on principle...more
On June 1, 2022, the United States Attorney for the Southern District of New York unsealed a two-count indictment of Nathaniel Chastain, charging him with wire fraud and money laundering, and accusing him of “insider trading...more
This alert updates a memorandum we published in October 2021 on Environmental, Social, Governance (“ESG”) funds. In that memorandum, we discussed the prevalence of investment companies that claim in their disclosures and...more
The term “ESG” – Environment, Social, Governance – is everywhere, including its use in the rise of any number of “ESG” targeted investment funds—currently there is an estimated $3.1 trillion in assets under management...more
The SEC’s Office of Compliance Inspections and Examinations (OCIE)—now renamed the Division of Examinations (the “Division” or “Examinations”) recently published its annual list of examination priorities for 2021. While the...more