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Proposed Rules Disgorgement

Stikeman Elliott LLP

OSC Adopts Framework to Distribute Disgorged Funds to Harmed Investors

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The Ontario Securities Commission (“OSC”) has published final rules (the “Final Rules”) that will create a new statutory framework to facilitate the distribution of funds that the OSC receives under disgorgement orders to...more

Stikeman Elliott LLP

OSC Proposes New Rules for Distributing Funds Paid Under Disgorgement Orders

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The Ontario Securities Commission (“OSC”) recently published for comment proposed rules and policies that would establish a process to distribute funds that the OSC receives under disgorgement orders to harmed investors. The...more

Goodwin

Navigating the SEC's Focus on Private Fund Fees: Understanding the Trends and Mitigating Risk

Goodwin on

The following is an edited version of a conversation between Goodwin partners Jonathan Hecht and Isaac Vinyarsh. Before joining Goodwin, Jonathan spent more than a decade in the SEC’s Division of Enforcement, including...more

Morgan Lewis

Current Developments in SEC Enforcement for Public Companies

Morgan Lewis on

The US Securities and Exchange Commission (SEC) continued its significant focus on public companies in 2022 with its enforcement and rulemaking programs. This heightened level of attention will likely continue as the SEC...more

Cozen O'Connor

FTC Seeking Public Comment on Rule to Combat False or Deceptive Reviews

Cozen O'Connor on

The FTC has issued an Advance Notice of Proposed Rulemaking concerning a proposed Trade Regulation Rule on the Use of Reviews and Endorsements. The proposed Rule is intended to buttress the FTC’s current limited remedial...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

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