Popular, Compliance, Investors

The Future of ESG: Navigating a Fragmented Landscape 

NAVEX on 2/27/2025

In today’s polarized and politically charged climate, few topics spark as much debate as ESG. Once a niche concern limited to green investors and idealistic board members, ESG has evolved into a mainstream business priority....more

New Massachusetts Healthcare Law Targets Private Equity, REITs, and MSOs; Expands State False Claims Act

Foley Hoag LLP - White Collar Law &... on 2/5/2025

On January 8, 2025, Governor Maura Healey signed House Bill 5159 into law, toughening the rules and increasing the risks for private equity (PE) companies, real estate investment trusts (REITs), and management services...more

Investments in Chinese Technology Companies Limited by New US Outbound Investment Rule

Fox Rothschild LLP on 1/13/2025

U.S. investors interested in investing in advanced Chinese technology companies may now be constrained by the U.S. Government’s first-ever outbound investment rule (Final Rule) which took effect on Jan. 2, 2025. The Final...more

SEC Reporting Update - December 2024

Snell & Wilmer on 12/31/2024

Insider Trading Policies. As previously discussed in our Winter 2022-2023 Corporate Communicator, the Securities and Exchange Commission (“SEC”) adopted final rules in December 2022 relating to insider trading policy...more

Treasury Issues Final Regulations Prohibiting Certain US Investment in Chinese Technology Companies

Akin Gump Strauss Hauer & Feld LLP on 11/25/2024

On November 15, 2024, the U.S. Department of the Treasury published the final rule implementing President Biden’s August 9, 2023 Executive Order on outbound investment, which addresses concerns related to China’s advancement...more

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on 11/22/2024

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

The Bre-X Mining Scandal, Part 3: Why Was No One Prosecuted

Thomas Fox - Compliance Evangelist on 9/6/2024

In the annals of corporate fraud, few scandals match the magnitude of the Bre-X mining affair. For compliance professionals, the lessons from this incident resonate deeply, not just because of the scale of the deception but...more

The Bre-X Mining Scandal, Part 1: A Scandal for the Ages

Thomas Fox - Compliance Evangelist on 9/4/2024

Few corporate scandals are still as infamous or devastating as the Bre-X mining scandal. What began as a story of incredible wealth, fueled by the promise of one of the largest gold deposits ever discovered, unraveled into...more

Oversight of climate disclosures: SEC stay doesn’t mean stop

KPMG Board Leadership Center (BLC) on 7/9/2024

Despite the sense of relief that many companies initially felt with the SEC’s stay of its climate disclosure rules, the pause is unlikely to temper the forces demanding climate disclosures by other means. In the latest paper...more

Rescheduling Marijuana FAQs: Cannabis-Related Investments

McGlinchey Stafford on 5/28/2024

On May 21, 2024, the Drug Enforcement Agency (DEA) filed the Proposed Rule to move marijuana from Schedule I of the Controlled Substances Act (CSA) to Schedule III of the CSA. In light of the rescheduling marijuana news,...more

The Critical Role of CFIUS in Safeguarding U.S. National Security: Insights and Implications for Technology and Legal...

HaystackID on 3/1/2024

Editor’s Note: The Committee on Foreign Investment in the United States (CFIUS) plays a pivotal role in regulating foreign investments in American companies, particularly those that could impact national security. This...more

Show Your Work: The SEC Cyber Rules and Documenting Materiality Analysis Under NIST FIPS 199

Baker Donelson on 10/24/2023

The date July 26, 2023, marks the latest evolution of the cybersecurity regulation landscape as the Securities and Exchange Commission passed cybersecurity regulations for publicly traded companies. At the open meeting, SEC...more

A New National Security Frontier: Executive Order and Coming Regulations Restricting US Technology Investments in China

Perkins Coie on 8/17/2023

President Biden issued a long-awaited executive order, “Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern” (the Executive Order or E.O.), on August 9, 2023,...more

ESG and the Apparel Industry: Always in Fashion

Perkins Coie on 6/14/2023

In recent years, the apparel, fashion, and luxury goods industries have seen an increased focus on environmental, social, and governance (ESG) initiatives. As industry leaders continue to make ESG commitments, regulators,...more

SEC Proposes Radical Transformation of Custody Rule Into New Safeguarding Rule

Goodwin on 2/17/2023

On February 15, 2023, the Securities and Exchange Commission (the “SEC”) proposed a significant transformation of Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) into a new...more

Proposed Amendments to the Federal Acquisition Regulation —Greenhouse Gas Emissions and Climate-Related Financial Risks

Vinson & Elkins LLP on 12/7/2022

The Federal Acquisition Regulatory Council (“FAR Council”) published a proposed rule in the Federal Register on November 14, 2022, that would create several significant compliance obligations for federal contractors....more

Cyber and Data Privacy Risks Every Investor Should Know During a Deal

Ankura on 4/28/2022

22 Global dealmaking had a historic year in 2021 and is expected to continue its hot streak into 2022. Global M&A volume for 2021 hit $5.8 trillion, up 64% from the previous year, with over 60,000+ deals. Beyond the...more

Increased Scrutiny on Greenwashing

Husch Blackwell LLP on 11/4/2021

Greenwashing is under increased scrutiny at the Securities and Exchange Commission (SEC) and the Federal Trade Commission (FTC). Greenwashing is clearly damaging to consumers and investors as it imbues purchasing decisions...more

Carbon Emissions and the Recent Climate Mobilization Act of New York City

Pillsbury Winthrop Shaw Pittman LLP on 2/15/2021

The new Presidential administration has set off a renewed emphasis on sustainability and climate change. While owners and other stakeholders involved in New York City real estate have been grappling with many of these issues...more

[Webinar] ESG Symposium: Capital, Climate and Culture in the New World - September 15th, 10:00 am - 4:00 pm CT

Vinson & Elkins LLP on 9/9/2020

Join Vinson & Elkins’ innovative Environmental, Social and Governance (ESG) Taskforce members for an exceptional series of conversations with industry insiders, top capital providers, and thought trailblazers on key...more

SEC Risk Alert Highlights on COVID-19-Related Compliance Risks and Considerations for Investment Advisers and Broker-Dealers

Akin Gump Strauss Hauer & Feld LLP on 8/21/2020

- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more

Today's Popular Updates › Compliance › Investors