25 Apr, 2024 New DOJ Pilot Program and Recent DOJ Declination Demonstrate the Importance of Cooperation and Self Disclosure By Jennifer Loeb Elvira Sihvola Nomi Conway Aedan Collins +1 more... Show less On April 12, 2024, the U.S. Department of Justice (DOJ) issued a declination letter to Proterial Cable America, Inc. (Proterial)...
17 Apr, 2024 Proposed Changes to CFIUS Regulations Continue Its Shift Towards a More Enforcement-Focused Mission By Aimen Mir Colin Costello Christine Laciak On 11 April 2024, the U.S. Department of the Treasury (“Treasury”), in its capacity as chair of the Committee on Foreign Investment in...
27 Mar, 2024 FDIC Joins Bank Merger Fray with Proposed Policy Statement By David Sewell Alison Hashmall Justin Stewart-Teitelbaum Jenny Hochenberg Angela Landry Nathaniel Balk Tina Laritz Cates Saleeby +5 more... Show less With the recent one-year anniversary of three of the largest bank failures in U.S. history—shortly preceded by the largest bank merger...
11 Mar, 2024 DOJ to Incorporate AI Into Guidance on Evaluation of Corporate Compliance Programs By Beth George Brock Dahl Timothy Howard Nomi Conway +1 more... Show less On March 7, 2024, in an address at the American Bar Association’s 39th National Institute on White Collar Crime, Deputy Attorney General...
15 Feb, 2024 SEC Issues Marketing Rule FAQ on Net IRR Presentation in Investment Adviser Advertising Materials By Timothy Clark David Sewell Nathaniel Balk On February 6, 2024, Securities and Exchange Commission (SEC) staff issued a new Frequently Asked Question (FAQ) under the SEC’s...
14 Feb, 2024 FinCEN Proposes Highly Anticipated Investment Adviser AML/CFT Rule By David Sewell Timothy Clark Stephanie Brown Cripps Nathaniel Balk Nathalie Kupfer Rosie Jiang +3 more... Show less On February 13, 2024, the U.S Treasury Department’s Financial Crimes Enforcement Network (FinCEN) issued a proposed rule to extend...
06 Jun, 2023 SEC Issues Three C&DIs Addressing the Rule 10b5-1 Amendments By Pamela Marcogliese Elizabeth Bieber Jeremy Barr Taryn Zucker Zo Khalid Jennifer Burrow +3 more... Show less On May 25, 2023, the staff of the SEC’s Division of Corporate Finance (the “Staff”) released three new compliance and disclosure...