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Securities Litigation Update - Fall 2018
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • December 3 2018

On June 18, 2018, the Supreme Court granted certiorari in Lorenzo v. Securities and Exchange Commission (Docket No. 17-1077), a case that considers


SEC Issues Report on Cybersecurity Internal Controls
  • Hunton Andrews Kurth LLP
  • USA
  • November 7 2018

On October 16, 2018, the Securities and Exchange Commission (SEC) issued a report of investigation entitled "Certain Cyber-Related Frauds Perpetrated


Economic Growth, Regulatory Relief, and Consumer Protection Act: Impacts on Investment Companies
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • November 1 2018

The Economic Growth, Regulatory Relief, and Consumer Protection Act (Consumer Protection Act), signed into law on May 24, 2018, includes certain


A Victory for Legal Privilege in Cross-border Investigations U.S. and U.K. perspectives on the English Court of Appeal's decision in The Serious Fraud Office v ENRC Limited
  • Milbank Tweed Hadley & McCloy LLP
  • USA, United Kingdom
  • September 11 2018

Regulators in the U.K. and the U.S. are increasingly placing pressure on companies to provide materials considered to be protected by legal privilege. The authorities have focused, in particular...


U.S. Securities and Exchange Commission Issues Two New Frequently Asked Questions About “Inadvertent Custody”
  • Sidley Austin LLP
  • USA
  • June 28 2018

On June 5, 2018, the Securities and Exchange Commission (SEC) staff updated its “Staff Responses to Questions about the Custody Rule” (FAQs) by


Other Legislative Proposals Affecting Capital Formation
  • Mayer Brown
  • USA
  • June 18 2018

There are a number of legislative proposals making their way through the House, including: H.R. 5054, the Small Company Disclosure Simplification Act


Reading the Tea Leaves: The Commission’s Reg Flex Agenda
  • Mayer Brown
  • USA
  • May 17 2018

The recently updated Securities and Exchange Commission agenda (see here and here) provides some insight on what to expect in upcoming months. The


Banking Regulators' Examination Authority Does Not Override Attorney-Client Privilege
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • May 16 2018

The attorney-client privilege (the "Privilege") is deeply enshrined in the common law. In protecting the confidentiality of communications between


Omnibus Budget Bill Eases BDC Leverage, Filing, Reporting and Communication Rules
  • Shearman & Sterling LLP
  • USA
  • May 7 2018

Business development companies (BDCs) won greater flexibility to leverage their loans to small and midsize businesses when President Trump signed the


Retail Client Confusion Regarding Broker-Dealers and Investment Advisers: Call Me by Your Name
  • Morrison & Foerster LLP
  • USA
  • May 3 2018

In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange