SEC

Registered Investment Advisers: FinCEN Says Welcome to the AML Party

+0

Registered investment advisers may have it a little easier than their banking brethren when complying with long-awaited anti-money laundering rules just proposed by the US Treasury’s Financial Crimes Enforcement Network (FinCEN), but they shouldn’t feel too relieved. They will still have to go through most of the same hoops to ensure their clients are not engaged in […]

Share
Category

D.C. Circuit Court Upholds Conflict Minerals Decision

+0
Editor's Note:

Richard J. Sandler is a partner at Davis Polk & Wardwell LLP and co-head of the firm’s global corporate governance group. This post is based on a Davis Polk client memorandum.

Share
Category

Forty-Four U.S. Senators Support the Rulemaking Petition for Transparency in Corporate Political Spending

+0
Editor's Note:
Share
Category

Enhancing the Commission’s Waiver Process

+0
Editor's Note:
Share
Category

Federal Court Injunction Against SEC Prosecution

+0
Editor's Note:

John J. Falvey, Jr. and Daniel J. Tyukody are partners in the Securities Litigation & White Collar Defense Group at Goodwin Procter LLP. This post is based on a Goodwin Procter Financial Services Alert.

Share
Category

SEC and PCAOB on Audit Committees

+0
Editor's Note:

Holly J. Gregory is a partner and co-global coordinator of the Corporate Governance and Executive Compensation group at Sidley Austin LLP. The following post is based on a Sidley update by Ms. Gregory, Jack B. Jacobs and Thomas J. Kim.

Share
Category

Institutional Investors and Corporate Short-Termism

+0
Editor's Note:
Share
Category

Scrutiny of Private Equity Firms

+0
Editor's Note:

Veronica Rendón Callahan is a partner at Arnold & Porter LLP and co-chair of the firm’s Securities Enforcement and Litigation practice. This post is a based on an Arnold & Porter memorandum.

Share
Category

Securities Class Action Filings—2015 Midyear Assessment

+0
Editor's Note:

John Gould is senior vice president at Cornerstone Research. This post is based on a report from the Stanford Law School Securities Class Action Clearinghouse and Cornerstone Research; the full publication is available here.

Share
Category