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Enforcement Investors Compliance

McDermott Will & Emery

Massachusetts H.5159 Seeks to Reshape Private Equity in Healthcare

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On December 30, 2024, both the Massachusetts House of Representatives and the Massachusetts Senate enacted House Bill 5159 (H.5159), and Governor Maura Healey signed it on January 8, 2025. The bill seeks to strengthen...more

Ropes & Gray LLP

Massachusetts Passes Act Implementing Broad Oversight into For-Profit Investment in Health Care

Ropes & Gray LLP on

On January 8, 2025, Massachusetts Governor Maura Healey signed House Bill 5159, An Act Enhancing the Market Review Process (the “Act”) into law, effective April 8, 2025. The Act is a compromise redraft of the separate health...more

ArentFox Schiff

ICSID Releases Its 2024 Annual Report: Second-Highest Caseload in History and Membership Expansion

ArentFox Schiff on

On October 25, the International Centre for Settlement of Investment Disputes (ICSID) released its 2024 Annual Report, which highlights significant trends and statistics in ICSID’s cases during the fiscal year ending on June...more

Seward & Kissel LLP

SEC Section 13 Enforcement Sweep

Seward & Kissel LLP on

Who may be interested: Investment Advisers, Compliance Staff - Quick Take: The SEC recently settled charges against 34 entities and individuals, including 11 institutional investment managers, for failing to timely report...more

Freiberger Haber LLP

Enforcement News: SEC Charges Bank With Misleading Investors About The Strength Of Its BSA/AML Compliance Program And Its...

Freiberger Haber LLP on

The Currency and Foreign Transactions Reporting Act, also known as the “BSA,” enacted in 1970, established requirements for record-keeping and reporting by banks and other financial institutions. The BSA is designed to, among...more

Katten Muchin Rosenman LLP

SEC Announces Year-End Enforcement Results, Highlighting Record-Breaking Penalties - Capital Markets Compass | Issue 4

On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more

Mintz

SEC Highlights ESG Enforcement Activity in Annual Report

Mintz on

The SEC recently announced its yearly summary of enforcement activity. Among the items it chose to highlight were its efforts to enforce ESG-related issues. ESG was one of only a handful of subject matter areas that the SEC...more

McDermott Will & Emery

[Ongoing Program] 2021 Latin American Compliance Conference - Day 2 - September 30th, 12:00 pm - 1:00 pm EDT

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Join us virtually for our second annual Latin American Compliance Conference. During this two-day webinar series, attendees will hear from McDermott White Collar litigators and compliance specialists, as well as industry and...more

McDermott Will & Emery

[Ongoing Program] 2021 Latin American Compliance Conference - Day 1 - September 28th, 12:00 pm - 1:30 pm EDT

McDermott Will & Emery on

Join us virtually for our second annual Latin American Compliance Conference. During this two-day webinar series, attendees will hear from McDermott White Collar litigators and compliance specialists, as well as industry and...more

Morrison & Foerster LLP

SEC Risk Alert Provides Insight Into Examinations Related To ESG Investing

On April 9, 2021, the SEC’s Division of Examinations (“EXAMS”) published a Risk Alert summarizing its observations from recent examinations of investment advisers, registered investment companies, and private funds engaged in...more

Faegre Drinker Biddle & Reath LLP

What’s New, and Comings & Goings at the SEC

What’s New, and Comings & Goings at the SEC - What’s New: The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently issued a Risk Alert titled “Select COVID-19 Compliance Risks and Considerations for...more

Morgan Lewis

HSR Act Violations Continue Trend of Heightened Enforcement, Increased Fines in 2016

Morgan Lewis on

The past year was a challenging one for investors purchasing voting securities in public corporations with respect to compliance with the Hart-Scott-Rodino Antitrust Improvements Act....more

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