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A&O Shearman

FCA publishes final rules for firms operating public offer platforms

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published final policy statement PS25/10, setting out the final rules for the new public offer platforms (POP) regime. This follows consultations in July 2024 and January of this...more

Hinshaw & Culbertson LLP

SEC Changes the Game for Private Fund Advisers – Summarizing the New "Restricted Activities Rule" and the "Preferential Treatment...

Hinshaw & Culbertson LLP on

In early 2022, the Securities and Exchange Commission (SEC) proposed a series of new rules and rule amendments aimed primarily at increasing transparency and protecting investors in private fund transactions. This August, the...more

Eversheds Sutherland (US) LLP

SEC adopts sweeping new private fund adviser rules and amendment to compliance rule

Eversheds Sutherland (US) LLP on

On August 23, 2023, a divided Securities and Exchange Commission (SEC) adopted far-reaching new rules and rule amendments under the Investment Advisers Act of 1940, as amended (Advisers Act). While the final rules are not as...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Finalizes Public Company Cybersecurity Disclosure Rules

Pillsbury Winthrop Shaw Pittman LLP on

Under the SEC’s rules, public companies that are subject to reporting requirements must promptly disclose material cybersecurity incidents. The SEC’s Final Rules require public companies to report a material cybersecurity...more

Goodwin

FinCEN Proposes Rule for SARs Sharing Pilot Program

Goodwin on

In This Issue. The Financial Crimes Enforcement Network (FinCEN) issued a proposed rule about the establishment of a limited-duration pilot program for sharing suspicious activity reports (SARs); FinCEN published the final...more

Goodwin

SEC Charges Trust Company With Operating Unregistered Investment Companies

Goodwin on

SEC Charges Trust Company with Operating Unregistered Investment Companies and Failing to Register Securities Offerings. On September 30, the Securities and Exchange Commission (SEC) announced it had settled charges with...more

Coblentz Patch Duffy & Bass

SEC Expands Accredited Investor Definition to Increase Participation in Private Offerings

Coblentz Patch Duffy & Bass on

On August 26, 2020, the Securities and Exchange Commission (SEC) adopted new final rules intended to modernize the existing rules, and provide additional flexibility for certain entities and individuals the SEC deems...more

Wilson Sonsini Goodrich & Rosati

SEC Extends "Test the Waters" to All Issuers

Wilson Sonsini Goodrich & Rosati on

On September 26, 2019, the U.S. Securities and Exchange Commission (SEC) announced that it had voted to adopt new Rule 163B, extending the "test the waters" accommodations previously available only to emerging growth...more

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