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773 results found

Article

Latham & Watkins LLP | USA | 1 Feb 2019

CFTC Seeks to Amend Commodity Pool Regulations

The US Commodity Futures Trading Commission (CFTC) has proposed amendments to its regulations in order to ease the registration and compliance burdens

Article

Nelson Mullins Riley & Scarborough LLP | USA | 8 Nov 2018

Corporate Penalties Plummet Under the Trump Administration

Over the weekend, the New York Times published an extensive article looking at corporate penalties under the Trump administration and concluding that

Article

Jones Day | USA | 1 Aug 2018

SEC Enforcement in Financial Reporting and Disclosure--2018 Mid-Year Update

Chairman Jay Clayton's vision for the Securities and Exchange Commission has largely shaped the first half of 2018, with policies and initiatives

Article

Morgan Lewis | USA | 13 Jun 2018

SEC Approves E-Delivery of Shareholder Reports, Requests Comments on Other Areas

The US Securities and Exchange Commission recently adopted Rule 30e-3 under the Investment Company Act of 1940, which will provide registered funds

Article

Hunton Andrews Kurth LLP | USA | 27 Nov 2017

Allegations of Unlawful Business Practices Survive in Stockholder's Derivative Suit

A Delaware court recently allowed a stockholder's derivative complaint to proceed where the board of directors allegedly breached their duty of

Article

K&L Gates | USA | 30 Oct 2017

Treasury Reports Continue to Inform Dodd-Frank Reform Efforts

On October 26, 2017, the U.S. Department of the Treasury (the “Treasury”) released a report entitled “A Financial System That Creates Economic

Article

Barnes & Thornburg LLP | USA | 31 Jul 2017

SEC Chairman Announces 8 Core Principles

In his first public speech since becoming the U.S. Securities and Exchange Commission (SEC) chairman, Jay Clayton shared his eight core principles

Article

Sidley Austin LLP | USA | 17 Jan 2017

The Investment Funds and Advisers 2016 Year-End Client Update Recap

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant

Article

Quarles & Brady LLP | USA | 11 Oct 2016

The Compliance and Enforcement Environment: Where Things Stand in the Autumn of 2016

Corporate compliance is under greater scrutiny and enforcement pressure than ever. SEC Whistleblowers and Penalties (including Foreign Corrupt

Article

Winston & Strawn LLP | USA | 11 Nov 2013

Financial services update November 11 2013 Insights

On November 5, 2013, in response to the U.S. District Court for the District of Columbia's decision to vacate the position limits rule proposed by

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