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Financial Crime Horizon scanner - Q3

USA - September 22 2020 The Evaluation of Corporate Compliance Programs provides guidance to prosecutors conducting an investigation of a corporation and determining whether...

Daniel G. Strickland, Andrea L. Gordon, Sarah E. Paul, Emily M. Rosenblum.

SEC relief for advisers impacted by COVID-19

USA - March 16 2020 On March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary order (the Order)1 providing conditional exemptive relief to...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Bria M. Adams, Nicholas J. Rinaldi, Alexa R. Shockley, Holly H. Smith, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk.

Videocast: Asset management regulation in 2020 videocast series - Fiduciary investment advice: The patchwork emerges

USA - February 20 2020 In this Bottom Line videocast, Issa Hanna and Pooja Kohli discuss what to expect in 2020 on standard of conduct developments for broker-dealers and...

Issa J. Hanna.

SEC warns investors about initial exchange offerings

USA - February 18 2020 Recently, the U.S. Securities and Exchange Commission (SEC) issued an Investor Alert (the Alert) warning investors to use caution before investing in...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Bria M. Adams, Nicholas J. Rinaldi, Alexa R. Shockley, Holly H. Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk.

Twisting in the Wind California Attorney General issues revised CCPA regulations

USA - February 14 2020 On February 10, 2020, the California Attorney General published revisions to the proposed regulations (Revised Regulations) to implement the...

Alexander F. L. Sand, Michael Bahar, Mary Jane Wilson-Bilik.