Articles: 1-10 of 110
Conflicts of interest: How high will the bar be raised?
USA - May 3 2022 The SEC last month proposed rules under the Advisers Act indicating a dramatic shift in how the SEC intends to reduce conflicts of interest involving…
The Trend of Increasing Disclosure Obligations for Private Funds Continues in 2022
USA - April 7 2022 Last month, the SEC proposed new rules under the Advisers Act that, if implemented, would be the most significant enhancement of disclosure…
Insider trading, MNPI and related internal controls: A renewed focus by SEC
USA - March 24 2022 Over the past few years, the SEC has brought fewer insider trading and Material Non-Public Information (MNPI)-related cases compared to historical…
Increased regulatory focus on privacy and cybersecurity for private funds in 2022
USA - March 16 2022 2021 continued the trend of increased regulatory focus on privacy and cybersecurity for private investment funds in the U.S. and abroad. There are no…
Economic sanctions and asset seizures: An important focus for the Biden administration
Russia, USA - March 9 2022 Sanctions continue to be a dynamic area of regulation and enforcement. In its first year, the Biden Administration has already undertaken a number of…
DOJ Task Force KleptoCapture to target Russian oligarchs
Russia, United Kingdom, USA - March 7 2022 Over the past week, the U.S., UK, and EU imposed sweeping sanctions rolled out by the US, in response to Russia’s invasion of Ukraine, outlined here…
Regulatory shake-out on digital assets: An industry waits for additional guidance
USA - March 1 2022 A threshold question in many cryptocurrency inquiries is whether the digital assets qualify as securities under the federal securities laws. If so…
ESG: Practical points for where market practice and legal trends collide
USA - February 24 2022 If 2021 was the year in which regulators and investors enthusiastically embraced environmental, social and governance (“ESG”) considerations, by…
Treating “like for like”: SPAC disclosure, marketing and gatekeeping in 2022
USA - February 17 2022 We reported last year that unprecedented SPAC deal volume signaled an increased risk for disputes given their unique structure, including risks…
Decentralized Finance: The Next Frontier of SEC Enforcement
USA - February 10 2022 The SEC’s push to regulate the next generation of blockchain-based applications will likely give rise to disputes and enforcement actions…
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