News & Analysis as of

United Kingdom Securities and Exchange Commission (SEC) European Union

McDermott Will & Emery

SEC Amends Schedule 13G Beneficial Ownership Reporting Deadlines

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On September 30, 2024, the revised Schedule 13G filing deadlines became effective. In this article, we provide an overview of the new regime and provide a comparison with the corresponding notification deadlines in the EU and...more

Dechert LLP

Dechert Cyber Bits - Issue 62

Dechert LLP on

FTC and DOJ Reach US$2.95 Million Settlement with Verkada for Alleged Violations of the FTC Act and CAN-SPAM Act - On August 30, 2024, the Federal Trade Commission (“FTC”) announced a proposed order with Verkada Inc....more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 30

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Akin Gump Strauss Hauer & Feld LLP

Sustainability/ESG Policy and Regulatory Update

Key topics in Akin’s July 2024 Sustainability/ESG Policy and Regulatory Update include: Updated Assessment of SFDR by EU Regulators: The European Supervisory Authorities have proposed changes to the Sustainable Finance...more

American Conference Institute (ACI)

The Road to Net Zero: Core Principles to Prevent Greenwashing

“Net zero” is a topic as hot as the climate these days. With so much regulatory attention being placed on it, companies that do not communicate their net zero efforts appropriately or, worse, intentionally make false and...more

Mayer Brown Free Writings + Perspectives

Investment Research

During his remarks at a meeting of the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities in Boston, Commissioner Uyeda commented on investment research and the...more

Eversheds Sutherland (US) LLP

UK's FCA consults on payment optionality for investment research

The FCA consultation paper CP24/7 “Payment Optionality for Investment Research” considers the reintroduction of the bundling of research payments with broker’s execution fees....more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 25

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Skadden, Arps, Slate, Meagher & Flom LLP

Insights Special Edition: Women’s History Month

Celebrating Women’s History Month, we present a special edition of our quarterly Insights publication, highlighting the talent and insights of women at Skadden. The issue spotlights their authorship on such topics as the...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Informed Board - Winter 2024

The oversight obligations of boards continue to expand. Recent enforcement actions and new laws in areas such as cybersecurity, artificial intelligence and supply chains create new challenges for boards, as we explain in this...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 23

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

BCLP

Stumbling Block? What is the Path Ahead for DeFi Through the Eyes of Policymakers?

BCLP on

DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more

Proskauer - Regulatory & Compliance

Special Report: Primarily Non-Financial Corporate Reporting for U.S. Companies - Where to Start?

A wave of new legislation and regulation in the U.S. and Europe has the potential to significantly impact the non-financial reporting obligations of U.S. companies. With the myriad of requirements overlaid with varying...more

Benesch

Privacy Points 2024: Recap and What to Watch For in 2024

Benesch on

Last year proved to be a big year in data protection with U.S. state data protection laws popping up across the country, the FTC updating its guidance and regulations on everything from data breaches and biometric...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 22

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Skadden, Arps, Slate, Meagher & Flom LLP

2024 Insights: Other Regulatory Developments

AI in 2024: Monitoring New Regulation and Staying in Compliance With Existing Laws Companies that develop or employ AI tools have to consider proposed AI-specific regulation as well as an array of existing IP, privacy,...more

Mitratech Holdings, Inc

‘Tis the season for better cyber hygiene: navigating IT risk management in 2024

Mitratech Holdings, Inc on

Prepare your organization to stay one step ahead in the ongoing battle against cyber and IT risk management. As organizations increasingly leverage third-party services and cloud technologies, cybercriminals are becoming...more

BakerHostetler

Swiss Banks Launch Crypto Offerings; GAO Addresses SEC Crypto Bulletin; UK and Hong Kong Publish Crypto Guidance; DOJ and SEC...

BakerHostetler on

Swiss Banks Launch Tokenization Pilot, Crypto Custody and Trading Services - A recent press release announced a pilot by “SIX, the Swiss National Bank (SNB) and six commercial banks” that seeks “to test, in a live...more

Jackson Lewis P.C.

Data Protection Update: Q4 Noteworthy Dates

Jackson Lewis P.C. on

Cross Border Transfers of Data. UK Data Transfers. The UK government has published a U.S. “adequacy decision” which permits U.S. organizations that have certified to the EU-US Data Privacy Framework (DPF) and UK Extension...more

Proskauer Rose LLP

SEC Adopts New Securities Lending Reporting Rule

Proskauer Rose LLP on

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending transactions. Certain material terms of...more

StoneTurn

ESG is a Four Act Play and Intermission is About to End

StoneTurn on

As socially responsible investing has gone mainstream, regulators in Europe and the United States have stepped in and are now formalizing rules around disclosures pertaining to Environment, Social and Governance (“ESG”)...more

A&O Shearman

Changes to Singapore selling restrictions for the wholesale debt market

A&O Shearman on

The MAS issued a Notice on Business Conduct Requirements for Corporate Finance Advisers on 21 June 2023 that, among other things, imposes a requirement on relevant persons advising on corporate finance to apply enhanced due...more

Wilson Sonsini Goodrich & Rosati

Sustainability and ESG Advisory Practice Update, September 2023

California Legislature Passes Climate Corporate Data Accountability Act - Earlier this month, the California legislature approved SB 253, the Climate Corporate Data Accountability Act (SB 253). Starting in 2026, “reporting...more

Proskauer Rose LLP

Taskforce on Nature-Related Financial Disclosures – New and Updated Nature Reporting Recommendations Published

Proskauer Rose LLP on

The NY Climate Week conference took place during the week of 18 September 2023, bringing together international leaders from business and governments. During the conference the Taskforce on Nature-related Financial...more

American Conference Institute (ACI)

[Event] 2nd Forum on Digital Assets Compliance: AML, Sanctions and Regulatory Oversight - October 17th - 18th, New York, NY

With so many new, emerging risks coming to the forefront, ACI is excited to announce our Digital Assets Compliance: AML, Sanctions and Regulatory Oversight. Unlike other conferences, this highly anticipated event stands apart...more

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