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White & Case LLP

Navigating NATO Procurement: Legal and Regulatory Considerations for Companies in Finland & Sweden

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As NATO’s strategic priorities evolve, the accession of Finland and Sweden marks a significant shift in the alliance’s defense landscape. With these Nordic nations integrating into NATO’s security framework, their defense...more

K&L Gates LLP

The SEC Publishes 2024 Examination Priorities Ahead of Schedule, Previewing Key Areas of Focus for Registered Entities

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On 16 October 2023, the Division of Examinations (Division) of the US Securities and Exchange Commission (SEC) released its examination priorities for the 2024 fiscal year (the Report). The Division released this Report...more

BakerHostetler

[Webinar] Bulls, Bears, and Blockchain - Special Edition: Former SEC Speaks - July 17th, 2:00 pm ET

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Join BakerHostetler for our series of Fireside Chats about the latest developments impacting the capital markets and their participants, and the blockchain industry....more

Hogan Lovells

Asset Tokenisation: On Blockchain Securitisation

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Hogan Lovells was an associate sponsor of the Global ABS 2021 Conference held in London. Partners Sharon Lewis (Head of Financial Institutions Sector) and Michael Thomas (a partner in the financial services team), alongside...more

Skadden, Arps, Slate, Meagher & Flom LLP

Coronavirus/COVID-19 Update

As health organizations and governments around the world work to contain the coronavirus (COVID-19), businesses should be mindful of the various ways the virus may impact their operations and employees. The wide range of...more

McDermott Will & Schulte

Capital Markets & Public Companies Quarterly: Reminders for the Form 10-K and Proxy Statement, Cyber-Related Frauds Report, Staff...

For many companies, closing out 2018 means it is time to prepare an annual report and shift attention to the upcoming proxy season. This is an opportune time to take a look back at rulemaking, interpretive guidance and...more

BakerHostetler

Blockchain Capital Markets Offerings and Executive Attitudes Evolve, Threats Continue

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New Blockchain Trading Platforms and Capital Markets Offerings Announced - Recently, it was reported that a popular Colorado resort planned to sell “Aspen Coins” in a Reg D 506(c) offering on a token trading platform...more

McDermott Will & Schulte

Capital Markets & Public Companies Quarterly: Expanding Relief under Smaller Reporting Company, Reg A+ and Rule 701, SEC...

During the previous quarter, the SEC acted to expand the number of companies that may rely on the “smaller reporting company” scaled disclosure regime and Congress directed revisions to the Regulation A+ and Rule 701...more

McDermott Will & Schulte

Capital Markets & Public Companies Quarterly: SEC Issues Cybersecurity Guidance, BlackRock and Gender Diversity, and News from the...

In a telling sign of current events, the SEC staff provided supplemental guidance related to the disclosure of cybersecurity risks and incidents, adding new commentary to its rules regarding disclosure and company controls....more

Morrison & Foerster LLP

OCIE Provides Insight into Issues Identified in Recent Cybersecurity Sweep

The National Exam Program of the SEC’s Office of Compliance Inspections and Examinations (OCIE) recently published its observations from the second generation of its Cybersecurity Initiative. It reported overall improvement...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Looking Ahead: The U.S. Legal and Regulatory Environment Under a Trump Administration"

Election Day brought an end to a long period of uncertainty that caused market fluctuations and delayed business planning decisions. As we navigate the post-election landscape, many questions remain regarding the potential...more

Perkins Coie

SEC’s Increased Cybersecurity Enforcement and How to Reduce Your Risks

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The SEC announced last week that an investment adviser had agreed to settle charges that it failed to take required steps to protect against and respond effectively to a cybersecurity breach. The action comes on the heels of...more

Carlton Fields

Investment Adviser Settles SEC Charges After Data Breach

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Last week, the Securities and Exchange Commission (SEC) settled charges against a registered investment adviser for failing to comply with Rule 30(a) of Regulation S-P (17 C.F.R. § 248.30(a)) (“Safeguards Rule”). The...more

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