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Latham & Watkins LLP | USA | 21 Sep 2023

SEC continues enforcing against NFT projects

On September 13, 2023, the Securities and Exchange Commission (SEC) issued a cease-and-desist order (the Order) against Stoner Cats 2, LLC (SC2) for…
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Buchalter | USA | 21 Sep 2023

The New FinCEN Small Entity Compliance Guide: Small Companies Will Have to Report Information About Owners and Beneficial Owners to FinCEN

The Financial Crimes Enforcement Network ("FinCEN") has published a new Small Entity Compliance Guide ("Guide") for compliance with the Beneficial…
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DLA Piper | Global, USA | 19 Sep 2023

Putting governance and risk in context and reducing personal liability for the cyber and privacy professional

Privacy professionals have long touted the importance of their field, claiming that it should be a matter of concern for boards of directors and…
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Lexology PRO | Global, United Kingdom, USA | 14 Sep 2023

Defining the role of general counsel in corporate governance

A group of top in-house lawyers are calling for the UK Financial Reporting Council to formalise the role of GCs in the UK’s Corporate Governance Code.
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Skadden Arps Slate Meagher & Flom LLP | USA | 14 Sep 2023

A Practical Guide to Interpreting the New SEC Private Fund Adviser Rules (including SEC commentary and guidance)

On August 23, 2023, the Securities and Exchange Commission (the SEC) voted 3-2 to adopt a final set of rules and amendments under the Investment…
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Skadden Arps Slate Meagher & Flom LLP | USA | 14 Sep 2023

Comments Raise Concerns About PCAOB’s Proposal To Expand the Scope of Audits and the Role of Auditors

In June 2023, the Public Company Accounting Oversight Board (PCAOB) proposed sweeping amendments to its auditing standards. Comment letters raise…
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Zuckerman Law | USA | 12 Sep 2023

How Whistleblowers Can Get Awards for Reporting Money Laundering or Sanctions Violations: A Whistleblower Lawyer’s Guide to the Anti-Money Laundering Whistleblower Program

To strengthen the enforcement of anti-money laundering (AML) laws and Bank Secrecy Act (BSA) regulations, Congress included in the Anti-Money…
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Mayer Brown | USA | 11 Sep 2023

Waivers of Code of Conduct for Nasdaq Listed Companies

On September 5, 2023, the Securities and Exchange Commission (the “SEC”) posted and declared effective a Nasdaq rule proposal modifying requirements…
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Hall Benefits Law | USA | 28 Aug 2023

U.S. Supreme Court Agrees to Hear Whistleblower Retaliation Case

The U.S. Supreme Court has agreed to hear Murray v. UBS Securities, LLC, a case concerning the protections against retaliation for employee…
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Global Investigations Review | USA | 25 Aug 2023

Key considerations in US government investigations

In this article, we discuss certain critical considerations that frequently arise, whether in criminal or civil investigations led by the Department…
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