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Kramer Levin Naftalis & Frankel LLP | USA | 17 May 2022

The SEC’s Climate and ESG Task Force Charges Vale S.A. With Securities Fraud

On April 28, the Securities and Exchange Commission (SEC) filed a complaint against the Brazilian mining company Vale S.A., alleging that the company…
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Lexology PRO | Global | 16 May 2022

“Use your ingenuity to solve regulatory problems”, IOSCO official tells crypto platforms at ISDA event

A senior official at the global securities regulators’ association has said that crypto asset firms rejecting traditional methods of financial regulation should “use their ingenuity” and present regulators with tailored proposals that maintain a similar standard.
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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.
Commentary
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Shearman & Sterling LLP | USA | 25 Jan 2022

SEC proposes new large position reporting requirements and prohibitions on fraud and manipulation for SBSs

The Securities and Exchange Commission recently proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets. Among other changes, the proposed rules would impose public reporting requirements for large positions of SBSs above a defined threshold. The proposal would also adopt new anti-fraud and anti-manipulation rules that could, if applied......
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Lexology PRO | Brazil, Canada, China, etc. | 27 Oct 2021

Anti-corruption and AML: key compliance updates (14 – 27 Oct)

Credit Suisse pays US$99 million for breaching the US FCPA, the EU targets tax evaders after the Pandora paper exposures, and two French bar associations appeal against proposed reforms to legal privilege in financial crime investigations – plus other key updates.
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Lexology PRO | Australia, Canada, European Union, etc. | 4 Oct 2021

60-second read: How trading with a futures exchange minimises risk

Futures exchanges can provide a well-regulated place to hedge physical commodities trade while minimising credit, settlement, and legal risk, according to Samantha Gilbert’s talk with Errol Bong, head of compliance & legal counsel at Noble Group.
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Silk Legal | Thailand | 10 Aug 2021

Understanding regulations around financial fraud in Thailand

Thai law enforcement agencies have introduced various legislation and increased surveillance of potential financial crimes over the years. Investors…
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Lexology PRO | European Union, Lebanon, United Kingdom, etc. | 5 Aug 2021

Anti-corruption: key compliance updates (22 Jul – 5 Aug)

UK regulator warns about fraud in COVID-19 loan scheme, how to prevent employee fraud and corruption, and new EU sanctions on Lebanon – plus other key anti-corruption updates.
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Lexology PRO | Russia, United Kingdom, USA | 5 Aug 2021

SolarWinds fights cyberattack investor lawsuit

Investors cannot hold SolarWinds liable for losses they incurred in the wake of a high-profile cyberattack, the company has argued – rejecting arguments that it misleadingly portrayed its data security standards.
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Morrison & Foerster LLP | USA | 29 Jul 2021

This Week at the Ninth: Beef Speech and Presumptive Plaintiffs

This week, the Court addresses the constitutionality of government assessments that fund third-party beef advertisements, and clarifies the…
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