The AI Shakeup: New Tech Innovations and the Future of Corporate Law
Regulatory Ramblings: Episode 44 - The Dangers of Non-Technically Trained Lawyers Advising on Technological Matters with Ronald Yu and Donald Day
Tips and Trends in Thought-Leadership Marketing
Guidepost in Motion EP27: Privacy Matters Part 2: “TMI”-The Privacy Dilemma of Social Media
Innovation in Compliance - Lessons About Leadership and Security with Paul Clayson
RPA As A Digital Transformation Catalyst
JONES DAY PRESENTS® Digital Health and Clinical Research: Understanding Regulatory Regimes
31 Days to a More Effective Compliance Program - Originating a Compliance Ecosystem
The Importance of Knowing Your Industry and Business Leadership
I-17 – Engaging Your Employees in Today’s Workplace, Featuring Rick Turner at Whirlpool Corporation
Frenemies: Gaining Efficiency Through Shared Services
The Ever-Expanding Scope of Social Media Discovery
Is the Patent Litigation Boom Coming to an End?
Convergence: Growing Dissatisfaction with Biglaw and the Rise of the Alternatives
IP|Trend: Starting Up Your Protection of Intellectual Property
Richard Susskind (@RichardSusskind) Discusses His Lifetime Interest in the Future of Law
Polsinelli Podcasts - The Virtual World and Wage and Hour Issues
How Fenwick Partners Caught the Tech Wave
Allen Matkins/UCLA Anderson Forecast Summer/Fall 2014: Tech Sector Continues to Drive Bay Area Commercial Real Estate
Allen Matkins/UCLA Anderson Forecast Summer/Fall 2014: San Diego Joins Southern California Real Estate Recovery
Companies in the growing “wealthtech” space often face novel regulatory and legal issues under the federal securities laws. Wealthtech companies blend traditional asset management and brokerage services with new technologies:...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
The Division of Enforcement (“Division”) for the Securities and Exchange Commission (“SEC”) released the 2024 Examination Priorities Report (“Report”) highlighting the key areas the Division will examine in 2024. The SEC’s...more
The SEC has charged and settled claims with two Investment advisers with making false and misleading statements about their use of artificial intelligence (AI). The SEC found that Delphia (USA) Inc. and Global Predictions...more
FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 pandemic, FINRA adopted...more
On October 16, 2023, the US Securities and Exchange Commission ("SEC") Division of Examinations ("Examination Division") announced its 2024 Examination Priorities. Registrants should ensure that policies, procedures, and...more
On October 16, the Securities and Exchange Commission’s Division of Examinations (the Division) released its 2024 Examination Priorities report. The report highlights that future examinations will focus on “risk areas...more
On July 26, 2023, the Securities and Exchange Commission (“SEC”), in a 3-2 vote, issued a release (the “Release”) containing proposed rules to address conflicts of interest associated with broker dealers’ and investment...more
On July 26, 2023, the majority of the Commissioners of the U.S. Securities and Exchange Commission (the “SEC”) voted to propose new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to...more
In a Legal Alert issued before the SEC open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to some of these questions....more
On September 27, 2022, regulators from the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) handed out over $1.8 billion in fines to financial institutions in connection with...more
FinCEN is extending its campaign to press title insurance companies to reveal the real buyers behind shell companies that pay cash for high-end real estate deals in select cities around the country....more
Faced with new Department of Labor rules requiring investment advisers to act in the best interest of their retirement account customers, Morgan Stanley’s decided to let its customers keeping paying for retirement advice with...more