Articles

Results 1 to 5 of 10


United States: SEC vs. Wahi: An Insider Trading Action with Surprising Impacts on the Investment Management Industry

USA - August 2 2022 As described in our FinTech Law Watch blog published on 29 July 2022, the SEC recently declared that 9 crypto assets were “securities” in a complaint…

Richard F. Kerr

United States: SEC rescinds conditions to proxy voting advice exemptions

USA - July 22 2022 On 13 July 2022, the Securities and Exchange Commission (“SEC”) repealed certain aspects of its 2020 reforms for proxy voting advice businesses…

Jon-Luc Dupuy, Ben Lukas

United States: SEC proposes amendments to shareholder proposal rule

USA - July 22 2022 On 13 July 2022, the Securities and Exchange Commission (“SEC”) proposed new amendments to Rule 14a-8 under the Securities Exchange Act of 1934 (the…

Jon-Luc Dupuy, Ben Lukas

United States: Grayscale Appeals to DC Circuit on SEC Denial of Bitcoin ETP

USA - July 5 2022 On Thursday, Grayscale Investments, LLC (Grayscale) filed suit against the Securities Exchange Commission (SEC) in the D.C. Circuit asking the court…

Stacy L. Fuller, Clifford C. Histed, Cheryl L. Isaac, Richard F. Kerr, Peter J. Shea

Q&A on the proposed esg reforms for registered funds: addressing the potential challenges imposed and comment opportunities

USA - June 21 2022 After much anticipation, the U.S. Securities and Exchange Commission (SEC) proposed significant, and potentially burdensome, disclosure and reporting…