Financial Institutions, Enforcement Actions, Private Equity

Outbound enforcement has started; Treasury contacting U.S. investors

Torres Trade Law, PLLC on 6/2/2025

Even though the Trump administration is reviewing the outbound foreign investment review regime, enforcement has begun. We’ve now heard multiple reports that the Treasury Department is reaching out to U.S. venture capital and...more

Insights – June 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 6/27/2023

This edition of Skadden’s quarterly Insights looks at the latest trends in shareholder activism, the scrutiny companies are facing over their ESG disclosures and employment considerations for using AI in the workplace, among...more

SEC Announces Record Number of Investment Adviser Cases for FY 2016

Proskauer - The Capital Commitment on 10/12/2016

The Securities and Exchange Commission today announced its enforcement results for fiscal year 2016, reaching new highs in the number of actions filed and money ordered forfeited through disgorgement and penalties. The SEC...more

Washington Insight - September 2016

King & Spalding on 10/5/2016

House Financial Services Committee Votes To Repeal And Replace Dodd-Frank - On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010...more

Investment Management Update

Ballard Spahr LLP on 9/15/2016

The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more

Financial Institutions › Enforcement Actions › Private Equity

Outbound enforcement has started; Treasury contacting U.S. investors

Insights – June 2023

SEC Announces Record Number of Investment Adviser Cases for FY 2016

Washington Insight - September 2016

Investment Management Update

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