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Seward & Kissel LLP

SEC Settles Charges with a Publicly Traded Company and its Controlling Shareholder for Not Disclosing Pledge of Company’s...

Seward & Kissel LLP on

Who may be interested: Board of Directors; Registered Investment Advisers; Registered Investment Companies; Broker-Dealers; Transfer Agents; Compliance Staff - Quick Take: The SEC announced that it settled charges against...more

Vedder Price

Investment Services Regulatory Update - May 2018

Vedder Price on

SEC Proposes Amendments to Auditor Independence Rules to Address Certain Lending Relationships - Summary - On May 2, 2018, the SEC issued proposed amendments to its auditor independence rules concerning the...more

Cooley LLP

Blog: SEC Proposes Amendments To Auditor Independence Rule Related To Debtor-Creditor Relationships

Cooley LLP on

The SEC has posted a new rule proposal that would modify the analysis of auditor independence in the context of lending relationships between the auditor and certain shareholders of an audit client during the audit or...more

Dechert LLP

SEC Staff Extends Effectiveness of No-Action Relief on Auditor Independence and the “Loan Provision”

Dechert LLP on

The U.S. Securities and Exchange Commission’s Division of Investment Management (SEC Staff) on September 22, 2017 extended indefinitely the effectiveness of no-action relief granted a year earlier with respect to the...more

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