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Lexology PRO | USA | 11 Aug 2022
SEC rolls out “prescriptive” clearing agency governance standards
The SEC has revised its rules on clearinghouse governance structure to mitigate conflict of interests, over objections from its Republican commissioners that the reforms are too “prescriptive”.
LK Shields | Ireland | 28 Jun 2022
Dealing with Conflicts of Interest: What Directors Need to Know
Conflicts of interest are part of doing business, and when they arise it is important for directors to handle them appropriately. The existence of a…
Lexology PRO | Asia-Pacific, Australia | 28 Apr 2022
ACCC raises self-preferencing concerns from online marketplace algorithms
The Australian Competition and Consumer Commission has raised concerns that the algorithms employed by the country’s top online marketplaces could be used to preference their own products to the detriment of rival sellers.
Lexology PRO | USA | 31 Mar 2022
SEC targets SPACs with strict disclosure restrictions
The US securities regulator is set to apply heavier disclosure restrictions to special purpose acquisition companies, issuing a clutch of measures that a dissenting commissioner has warned will reduce SPAC transactions to just another form of IPO.
McCarter & English LLP | USA | 23 Sep 2021
The GAO sustains protest based on awardee’s Organizational Conflicts of Interest—An important lesson for all contractors
If a company has one or more Organizational Conflicts of Interest (“OCIs”), its ability to compete for (or perform) a government contract in a fair…
PRO Compliance | USA | 24 Nov 2020
JPMorgan slapped with $250 million fine over compliance issues
The US Treasury’s Office of the Comptroller of the Currency handed JPMorgan Chase Bank a $250 million penalty over internal controls and audit failures.
Macfarlanes LLP | United Kingdom | 2 Mar 2020
The FCA’s Dear CEO LIBOR letter: a call to action for asset managers
On 27 February 2020, the Financial Conduct Authority (FCA) wrote to the CEOs of all regulated asset management firms setting out its expectations for…
K&L Gates LLP | China, USA | 19 Feb 2020
Charles Lieber, Feng Tao, and the DOJ’s Ongoing Search for Chinese Spies at U.S. Research Institutions
Late last month, yet another decorated academic from a prestigious American research institution found himself in the crosshairs of a criminal…
Perlman & Perlman LLP | USA | 4 Dec 2019
Ripped from the Headlines - Lessons in Nonprofit Governance
On August 9, 2019, Politico Magazine posted an article about alleged discontent by current and former Liberty University officials…
DLA Piper | Italy | 1 Nov 2019
IVASS and CONSOB consultation documents’ terms extended to 15 November 2019
It is of todays’ date (31 October 2019), the press release published by both IVASS and CONSOB by which the terms for submitting comments to the…
