Especially in today’s economic and work environment, we find it helpful – and we therefore thought our clients would also find it helpful – to keep track of the important litigation and regulatory enforcement developments...more
6/11/2020
/ Asset Management ,
Class Action ,
Coronavirus/COVID-19 ,
Dodd-Frank ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Investment ,
Proxy Materials ,
Regulation Best Interest ,
Section 36(b) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation
Especially in today’s economic and work environment, we find it helpful – and we therefore thought our clients would also find it helpful – to keep track of the important litigation and regulatory enforcement developments...more
5/27/2020
/ Asset Management ,
CARES Act ,
Clawbacks ,
Commercial Bankruptcy ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Enforcement Actions ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Fraudulent Conveyance ,
Investment Management ,
Oil & Gas ,
Paycheck Protection Program (PPP) ,
Regulatory Oversight ,
Section 36(b) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Shareholder Litigation
Key Takeaways -
The COVID-19 coronavirus outbreak has undoubtedly increased firms’ exposure to market abuse risks in a number of ways:
Due to the rapidly changing consequences of restrictions caused by COVID-19 for...more
4/7/2020
/ Business Continuity Plans ,
Compliance ,
Coronavirus/COVID-19 ,
Financial Conduct Authority (FCA) ,
Global Market ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Hong Kong Stock Exchange ,
Insider Information ,
Liquidity ,
Market Abuse ,
Publicly-Traded Companies ,
Remote Working ,
Securities and Exchange Commission (SEC) ,
SEHK ,
UK ,
United States
Five years removed from the credit crisis and “great recession” of 2008, the U.S. fund industry still faces substantial litigation risk, both in terms of ongoing cases that challenge the core of the advisory/sub-advisory...more