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
All Things Investigations: Mike Huneke on Navigating Uncharted Waters: Compliance Strategy in a Changing Administration
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
In this issue, we explore ongoing corporate law issues involving controlling stockholders, with significant decisions anticipated from the Delaware Supreme Court in 2025; the rise in litigation over earnout provisions in...more
The European Securities and Markets Authority has published technical advice on revisions to Delegated Regulation (EU) 447/2012 and Annex I of the CRA Regulation...more
European Securities Market Authority has published a final report on proposed amendments to certain MiFID II technical standards in relation to commodity derivatives in response to amendments introduced by the MiFID II...more
The Delaware Court of Chancery recently dismissed a “hybrid” of Malone1 false disclosures and Caremark oversight claims brought by two stockholder plaintiffs. In In re FibroGen, Inc. Derivative Litigation,2 Vice Chancellor...more
The Financial Stability Board has published a consultation report on policy measures to address leverage in non-bank financial intermediation where it can create financial stability risks. The measures aim to help authorities...more
查看中文 Following a consultation process conducted in June 2024, the Stock Exchange of Hong Kong Ltd. (HKEX) has announced finalized amendments to the Rules Governing the Listing of Securities on HKEX (Listing Rules) to...more
The final regulations of the Outbound Investment Security Program, issued by the United States Department of the Treasury (the Treasury Department) on October 28, 2024 (the Final Rule), will become effective on January 2,...more
Zabrina Mcintyre is a director and cybersecurity adviser at KPMG, where she leverages her diverse expertise in cybersecurity, risk management, and strategic project leadership. She brings a unique blend of creativity and...more
The Digital Chamber ("TDC"), an organization dedicated to championing Bitcoin, digital assets, and blockchain innovation, recently released a proposed agenda for the SEC's new chair and commission titled TDC's "2025 SEC...more
