Settlement, Compliance, Investment

[Podcast] R&G Dugout: Navigating NIL—The Future of College Athletics and Investments

Ropes & Gray LLP on 4/1/2025

On this episode of the R&G Dugout podcast, Ropes & Gray litigation & enforcement partner and lead of the firm’s sports industry initiative, Chris Conniff, is joined by intellectual property transactions partner Erica Han....more

Nine Advisers Face $1.24 Million Fallout from SEC’s Marketing Rule Sweep

SEC Compliance Consultants, Inc. (SEC³) on 9/17/2024

September 30 is the SEC’s fiscal year-end, so it's no surprise to see an uptick in enforcement cases this month. The latest slew of settlements involved violations of the Marketing Rule (Advisers Act Rule 204(4)-1) for...more

SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date

Seward & Kissel LLP on 4/19/2024

Who may be interested: Registered-Investment Companies; Investment Advisers; Broker-Dealers - Quick Take: In May 2023, the SEC adopted several Rules and Rule amendments which, among other things, shorten the standard...more

Investigations Newsletter: Arkansas Men Convicted in $18 Million Global Investment Fraud Conspiracy

ArentFox Schiff on 9/11/2023

Arkansas Men Convicted in $18 Million Global Investment Fraud Conspiracy - A federal jury in the Western District of Arkansas convicted four men of conspiracy to commit wire fraud, wire fraud, and conspiracy to commit money...more

Bank to pay $1 billion to settle investors’ compliance claims

Orrick, Herrington & Sutcliffe LLP on 6/5/2023

Last month, the U.S. District Court for the Southern District of New York preliminarily approved a securities litigation settlement that would require a national bank to pay $1 billion to resolve class claims that it...more

Managing Employment Law Risk is a Wise (and Cost-Effective) Investment

Foley & Lardner LLP on 5/31/2023

Late last year, I wrote about approaching compliance challenges by thinking as much about the “why” as about the “what” of the compliance requirement. The point I hoped to convey was that inquiring into the question of why a...more

Failure to Update Budget Projections in Bond Offering Prompts the SEC to Charge the School District and the CFO with Misleading...

Butler Snow LLP on 11/1/2021

On September 16, 2021, the Securities and Exchange Commission (the “SEC”) charged Sweetwater Union High School District, a San Diego County School District (the “District”) and its former Chief Financial Officer (the “CFO”),...more

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