News & Analysis as of September 17, 2024

Securities and Exchange Commission (SEC)

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A Discussion with Nacha on Proposed Rulemaking Regarding Fraud - Payments Pros: The Payments Law Podcast
CFPB's Section 1071 Final Rule (Part 3): Potential Problem Areas – The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: Perspectives on Counseling on the Creation of Consumer Finance Products, with Guest Joseph Schuster, Managing Director and Senior Counsel, Goldman Sachs
Consumer Finance Monitor Podcast Episode: Recent Federal and State Debt Collection Developments
Medical Spa Start-Ups: What Providers Need to Know
Patent Licensing Tips and Takeaways
A Changed Legal Landscape? Analyzing California’s New Cannabis Laws
Obtaining a Recreational Marijuana License from Your Local Municipality
Mergers and Acquisitions in Healthcare: Getting Your House in Order
Nota Bene Episode 72: Space Law: License, Launch, Finance, Insurance, and Responsible Space Stewardship with Brian Weimer
Meritas Capability Webinar - Legal Cannabis and the Health Care Industry

SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF

Seward & Kissel LLP on 3/5/2024

Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s alleged failure to...more

Licensing Requirements for Private Equity Firms in Hong Kong – Part 2

Morgan Lewis on 8/5/2019

In our first blog on Hong Kong private equity licensing, we looked at Dealing in Securities (Type 1). This second blog deals with Advising on Securities (Type 4)....more

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Licensing Rules › Investment Adviser › Securities and Exchange Commission (SEC)

SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF

Licensing Requirements for Private Equity Firms in Hong Kong – Part 2

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