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Results: 1-10 of 229

SEC cybersecurity update: OCIE Risk Alert provides insights for private fund managers on SEC cybersecurity examinations

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • February 4 2015

Earlier this week, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert1 providing observations derived from its

AICPA issues additional conflict minerals audit guidance: an overview and suggested action items for registrants

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • January 29 2015

The American Institute of Certified Public Accountants has published additional guidance relating to the independent private sector audit (IPSA

Newman’s aftermath: district court vacates four insider trading guilty pleas; government seeks rehearing in Second Circuit

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • January 27 2015

Last week saw two significant developments for insider trading law stemming from the Second Circuit's important decision in U.S. v. Newman, 773 F.3d

Conflict minerals resource center

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • January 9 2015

On August 22, 2012, the U.S. Securities and Exchange Commission adopted Rule 13p-1 under the Exchange Act, which is known as the “Conflict Minerals

Second Circuit clarifies insider trading liability of tippees

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • December 15 2014

In its highly anticipated decision in U.S. v. Newman, the U.S. Court of Appeals for the Second Circuit held on Dec. 10 that to sustain insider

D.C. Court of Appeals grants rehearing of Conflict Minerals Rule decision

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • November 18 2014

Now in its third year, the challenge to the SEC's Conflict Minerals Rule ("the Rule") continues. Today, the Court of Appeals for the D.C. Circuit

Conflict minerals reporting: a review of calendar year 2013 filings and recommendations for calendar year 2014 compliance

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • September 17 2014

On June 2, 2014, the first filings under the Conflict Minerals Rule which related to calendar year 2013 were due. In this White Paper, we discuss

JOBS Act update: CFTC relief removes impediment to general solicitation

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • September 11 2014

On Sept. 9, 2014, the U.S. Commodity Futures Trading Commission staff granted broad relief intended to remove an obstacle to the ability of market

FinCEN’s much-anticipated proposed rule on customer due diligence is finally here

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • August 8 2014

On July 30, 2014, the Financial Crimes Enforcement Network ("FinCEN"), a bureau of the U.S. Department of the Treasury ("Treasury"), issued a notice

Solvency finding drives Fifth Circuit to affirm dismissal of $2.5-billion fraudulent transfer suit

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • August 8 2014

The U.S. Court of Appeals for the Fifth Circuit, on July 30, 2014, affirmed a district court's dismissal of a litigation trustee's $2.5-billion