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Results: 1-10 of 326

New anti-money laundering rules for registered investment advisers proposed by FinCEN
  • Schulte Roth & Zabel LLP
  • USA
  • August 25 2015

Today, Aug. 25, 2015, the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the U.S. Department of the Treasury, issued for public comment


D.C. Circuit panel reaffirms conflict minerals rule decision
  • Schulte Roth & Zabel LLP
  • USA
  • August 18 2015

Earlier today, in a split decision, the three-judge panel of the U.S. Court of Appeals for the D.C. Circuit reaffirmed its April 2014 decision in the


BHP Billiton settles with SEC for $25 million for providing foreign officials with luxury travel to Olympics
  • Schulte Roth & Zabel LLP
  • USA
  • May 21 2015

The U.S. Securities and Exchange Commission ("SEC") on May 20, 2015 announced a settlement with global resources company BHP Billiton over


New SEC cybersecurity guidance: what it means for fund managers
  • Schulte Roth & Zabel LLP
  • USA
  • May 4 2015

Cybersecurity continues to be a priority for the Securities and Exchange Commission. The SEC's Office of Compliance Inspections and Examinations


SEC whistleblower case challenges restrictive language in confidentiality agreements
  • Schulte Roth & Zabel LLP
  • USA
  • April 10 2015

On April 1, 2015, the Securities and Exchange Commission (“SEC”) announced its first enforcement action against a company for using language in a


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