RQC Group | European Union, United Kingdom, USA | 5 Mar 2024
Welcome to the February edition of our monthly newsletter. In the U.S., after a relatively calm January, marked by the implementation of the Corporate…
Skadden Arps Slate Meagher & Flom LLP | USA | 28 Feb 2024
While the volume of securities class actions filings has remained consistently elevated over the past several years, the composition of the class…
Sullivan & Cromwell LLP | USA | 21 Feb 2024
The S&C Quarterly Investment Management Newsletter highlights key legal and regulatory developments relevant to the investment management industry…
Haynes and Boone LLP | USA | 8 Feb 2024
The 784 enforcement actions filed by the SEC in FY 23 constituted a 3% increase from the prior year.1 Of those enforcement actions, 501 were new or…
Paul, Weiss, Rifkind, Wharton & Garrison LLP | USA | 26 Jan 2024
2023 was a busy year at the SEC as it continued to implement Chair Gensler’s ambitious agenda. The SEC finalized several significant rulemakings: new…
Duane Morris LLP | USA | 9 Jan 2024
The beneficial ownership information reporting rule implementing Section 6403 of the Corporate Transparency Act (CTA) became effective on January 1…
Dechert LLP | USA | 18 Dec 2023
EXAMS tends to carry forward major themes from year-to-year, and due to the shorter amount of time between the publication of the 2023 Examination…
Holland & Knight LLP | USA | 21 Nov 2023
The SEC's Division of Enforcement recently announced its Fiscal Year (FY) 2023 results, touting a record-setting year. Rather than repeat…
Latham & Watkins LLP | USA | 3 Nov 2023
On October 16, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (the Division) published its annual examination…
Hogan Lovells | USA | 28 Oct 2023
For over a decade, the Division of Examinations1 within the U.S. Securities and Exchange Commission (the…