From Legislation to Implementation: Understanding Section 1202 Changes — Troutman Pepper Locke Podcast
Crypto's Capital Markets Revolution: Insights From GSR's Josh Riezman — The Crypto Exchange Podcast
A New Brand of Uncertainty? — PE Pathways Podcast
JONES DAY TALKS®: Real Assets Roundup: A New Look at Real Estate, Energy, and Infrastructure - Episode 1
Treating Compliance Like an Asset
Daily Compliance News: June 17, 2025, The JBS Goes Public Edition
(Podcast) The Briefing: Who Owns Jack Nicklaus? Lessons for The Creator Economy From a Brand Battle
The Briefing: Who Owns Jack Nicklaus? Lessons for The Creator Economy From a Brand Battle
Foreign Correspondent Podcast | The America First Investment Policy and What it Means for Investors
LathamTECH in Focus: How Should Crypto Companies Be Thinking About New Laws?
Podcast - Navigating the New Landscape of Private Equity in Healthcare
The Preferred Return Podcast | Balancing Act: Strategies for GPs and LPs in Today's Market
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 1)
2025 Oil Market Outlook: What OPEC, U.S. Shale, and Natural Gas Trends Mean for the Year Ahead
2025 Perspectives in Private Equity: AI & Technology
2025 Perspectives in Private Equity: Sports
Foreign Correspondent: An FDI Podcast | Mapping the National Security Landscape for Investors
Scaling Sustainable Fuel for the Future | Insights with Niels Jensen
AdvisorEsq Podcast Series - Episode 10 - Planning Ahead: The Valuation Equation
[Podcast] Private Market Talks: Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of Regulation Best Interest...more
In what may be indicative of the Securities and Exchange Commission’s renewed focus on small business capital formation, one of the topics that the staff (the “Staff”) of the Commission’s Division of Corporation Finance (the...more
Private fund advisers continually balance their ongoing responsibility to ensure that the funds they advise comply with such funds’ governing documents and their responsibility to ensure their own compliance with applicable...more
On July 10, 2025, citing a drive to increase transparency, the Food and Drug Administration (“FDA”) published more than 200 complete response letters (CRLs) previously issued to companies that had submitted new drug...more
With an estimated 34 people moving to the Charleston area each day and with South Carolina claiming one of the fastest-growing populations in the nation last year , the post-COVID increase in the number of private placement...more
The US Securities and Exchange Commission (SEC) has published no-action guidance providing clarity to issuers relying on Rule 506(c) of Regulation D – an exempt offering pathway that permits issuers to publicly advertise an...more
Navigating the complex landscape of foreign investment review is crucial for private equity (PE) firms operating in an international landscape. The Committee on Foreign Investment in the United States (CFIUS) continues to be...more
One of the most noticeable securities litigation trends of 2024 has been the significant increase in artificial intelligence-related fraud claims. With companies in virtually all industries touting their use of AI to drive...more
Under a new 2025 law, Massachusetts is one of the first in the nation to broaden its state False Claims Act (FCA) to require disclosures by investors and owners of health care entities. On January 8, 2025, Governor Maura...more
The Securities and Exchange Commission (SEC) is increasing its scrutiny on artificial intelligence (AI)-related disclosures; therefore, companies must tread carefully as year-end reporting season approaches. Specifically,...more
On December 30, 2024, the Massachusetts state legislature passed House Bill 4653 (the Act), which significantly enhances regulatory oversight in the Massachusetts health care market. As signed into law by Governor Maura Healy...more
SEC Penalizes Director for Misleading D&O Questionnaire Response - The SEC recently brought an enforcement action against a director for causing violations of the proxy rules by failing to disclose a close personal...more
On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more
Last week I posted a blog about the dangers of not heeding findings made during a regulatory exam, at least findings of clear, undisputable compliance issues that cannot be meaningfully defended. Today I am writing to...more
Join us for a virtual roundtable discussion regarding the changing securities regulatory and enforcement landscape. The election of Joe Biden and his subsequent nomination of Gary Gensler as the next chairman of the US...more
As the cannabis industry continues to evolve and generate capital raising and investment opportunities, the SEC Division of Enforcement will continue to closely keep watch and target the bad actors that new market...more
In light of the COVID-19 pandemic, our 9th McDermott International Seminar Series will be held as a virtual series, with eight sessions taking place between January 21 – February 4, 2021. Though we cannot see you in person,...more
Join us virtually for a Latin American Compliance Conference where senior government officials, industry experts and key US and Latin American lawyers discuss anti-corruption and Foreign Corrupt Practices Act (FCPA)...more
Compliance Today (October 2020) - In a case that has remained unresolved for almost a decade, Sculptor Capital Management Inc., formerly Och-Ziff Capital Management, agreed to pay investors in a Congolese mine, who were...more
In this podcast, Greg Nowak, a partner in Troutman Pepper’s Investment Management and Compliance and Hedge Funds Practice Groups, is joined by Evan Katz, Managing Director of Crawford Ventures, Inc., for a candid review of...more
In remarks before the 2015 National Society of Compliance Professionals, National Conference, Andrew Ceresney, Director, SEC Division of Enforcement, outlined the type of criteria used to charge Chief Compliance Officers with...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more
This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more
With the date for the introduction of the new regulatory regime for IPO sponsors now just a matter of weeks away on October 1, 2013, the Hong Kong market has witnessed further action taken by the Securities and Futures...more