No Password Required: Director and Cybersecurity Adviser at KPMG and Rain Culture Authority
Sunday Book Review: December 22, 2024 – The Top Business Ethics Books from 2024 Edition
Daily Compliance News: December 20, 2024 – The First Post-Wirecard Client Edition
Classroom Insiders, Season 2 – A Deep Dive into Panuwat and Shadow Insider Trading
2 Gurus Talk Compliance: Episode 42 – The Holiday Edition
Regulatory Ramblings: Episode 60 - The Evolution of Fintech: Asia, The US and the Implications for Inclusion with Theodora Lau
Regulatory Ramblings: Episode 57 - A Path to Financial Inclusion Through Technology with Eelee Lua
Regulatory Ramblings: Episode 58 - The AI-fication of Jobs with Huy Nguyen Trieu
Regulatory Ramblings: Episode 59 - Four Decades Fighting Human Trafficking and Modern Slavery – A Diplomat Reflects with Matt Friedman
Daily Compliance News: December 19, 2024 - The Prison Labor Edition
TechLaw10: Online Fraud & How to Stop It
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is a Private Offering?
Compliance into the Weeds: NRA Governance Reforms: A Compliance Case Study
The Hill Country Podcast: Behind the Scenes at Kerrville Daily Times with John Wells
Great Women in Compliance – Holiday GWIC-tacular
Daily Compliance News: December 18, 2024 – The Turn Your Knife on Yourself Edition
Daily Compliance News: December 17, 2024 – The Extraordinary Circumstances Edition
SBR-Author’s Podcast – Exploring Storytelling with James Jennings
Everything Compliance: Shout Outs and Rants - Episode 146, The Holiday Edition
Innovation in Compliance – Boosting Corporate Culture Through Engagement with Stephan Poschik
As a result of the Executive Order of December 30, 2024, the federal government will be closed on January 9, 2025, for President Carter’s funeral. The NYSE and the Nasdaq have also announced that those exchanges will be...more
When it comes to raising capital for your business, private placements offer a compelling alternative to traditional methods like bank loans or venture capital. However, navigating the intricate legal landscape of securities...more
How should my compliance program prepare for the Trump administration? This is a question I have been asked a lot over the past few weeks. And as we start a new year and a second Trump administration that promises to be a...more
On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) issued a press release highlighting settled enforcement actions against a private fund adviser and two pre-IPO companies for failure to timely file...more
In in a recent LinkedIn post, J. Travis Laster (not posting as Vice Chancellor of the Court of Chancery) noted the following...more
The Bank of England has published a statement of policy setting out its approach to exercising its power to direct a CCP to address impediments to resolvability under the Financial Services and Markets Act 2023. This power...more
The EU Platform on Sustainable Finance has published a report on the categorization of products under the Sustainable Finance Disclosure Regulation. The Platform recommends categorizing products with the following...more
The Financial Markets Standards Board has published a consultation on its transparency draft of its statement of good practice on the governance of sustainability-linked products. SLPs are products whose financial and/or...more
A recent order handed down by U.S. District Judge Vince Chhabria of the Northern District of California could be a new source of concern for digital asset entrepreneurs and the venture capital firms that invest in and support...more
Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on...more
On December 30, 2024, President Biden issued an Executive Order closing all executive departments and agencies of the federal government on January 9, 2025, in observance of a national day of mourning for former President...more
Until fall 2023, there were few SEC enforcements or litigations involving securities issues with non-fungible tokens (“NFTs”). This has changed dramatically. In rapid succession last fall, the SEC undertook two enforcements...more
The Financial Conduct Authority has published a Dear CEO Letter setting out its key concerns and priorities over the next two years for benchmark administrators. The FCA's supervisory priorities include: - corporate...more
The U.K. Financial Conduct Authority published a Dear CEO letter setting out its strategy for providers and distributors of contract for differences over the next two years. The FCA's planned work relates to: - Consumer...more
December 30, 2024- U.S. Senate Banking, Housing and Urban Affairs Committee Ranking Member Tim Scott (R-S.C.) released his 2024 Year-in-Review and Oversight Report for the 118th Congress, highlighting Banking Committee...more
The U.K. Financial Conduct Authority has published a Dear CEO letter for data reporting services providers. Since its previous letter in May 2022, the FCA has seen improvement in some areas such as within firms' data quality...more
This year, the SEC has ramped up its enforcement efforts against digital asset marketplaces for selling non-fungible tokens (“NFTs”) (and other digital assets) the agency alleges are securities. In response, some potential...more
The Financial Conduct Authority, Prudential Regulation Authority, and the Bank of England have launched consultations on operational incident and third-party reporting. The regulators propose to establish a framework to...more
As the year comes to a close here are some of the highlights from the Workplace Privacy, Data Management & Security Report with our most popular topics and posts from 2024. Expanding State Privacy Laws- This year saw a...more
The SEC’s settlement with James R. Craigie, former CEO, chairman, and director of Church & Dwight Co. Inc., for violating proxy disclosure rules by standing for election as an independent director without disclosing his close...more
In an unexpected turn of events, the U.S. Supreme Court recently dismissed without explanation two securities fraud class action cases out of the U.S. Court of Appeals for the 9th Circuit—Facebook, Inc. v. Amalgamated Bank...more
Welcome to our December 20243 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the SEC’s 2024 enforcement results, which fell somewhat short after its 2023...more
A federal circuit court recently vacated a U.S. Securities and Exchange Commission (SEC) order approving Nasdaq’s diversity rule for boards of directors of public companies....more
We have noticed an increasing number of employers reaching out with questions about whether they should have their defined contribution plan join the auto-portability network. ...more
The European Supervisory Authorities have published a summary report with the key findings from the 2024 Dry Run exercise on reporting the registers of information under DORA...more
