Securities, Enforcement Actions, Corporate Governance

SEC Pumps Fun

McDermott Will & Schulte on 3/4/2025

While we anticipated a relaxed US Securities and Exchange Commission (SEC) under the new administration, even the biggest proponents of a lax SEC did not expect a “meme coin” blessing within weeks of a new SEC chair being...more

SEC Delivers its Enforcement Report, Industry Says Goodbye to SEC Chair Gensler, and Lessons on Third-Party Transfers and...

SEC Compliance Consultants, Inc. (SEC³) on 12/31/2024

Welcome to our December 20243 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the SEC’s 2024 enforcement results, which fell somewhat short after its 2023...more

Hong Kong Regulatory Update - April 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 4/5/2019

This Hong Kong regulatory update provides an overview of key regulatory developments in the past three months relevant to companies listed (or planning to list) on The Stock Exchange of Hong Kong Limited (HKEx) and their...more

In Case You Missed It - Interesting Items for Corporate Counsel - May 2018

Stoel Rives LLP on 9/14/2018

Pay equity advocates were undoubtedly disappointed that inaugural disclosure of the ratio of CEO pay to median employee pay fizzled. See, for example, here. CEO pay has, of course, been publicly disclosed forever; only the...more

Financial Regulatory Developments Focus - July 2018 #3

A&O Shearman on 7/20/2018

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

The “New” Face of Corporate Misconduct

The Volkov Law Group on 1/25/2017

As we look across the corporate governance landscape and focus on the spikes of corporate scandals, I started to wonder if there was any pattern or trend to the nature of corporate scandals....more