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Searching Content indexed under Corporate/Commercial Law by Foley Hoag LLP ordered by Published Date Descending.
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1
SEC OCIE Risk Alert Update: Supervision Of Disciplined Individuals
On July 23, 2019, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released
United States
21 Aug 2019
2
SEC Proposes Rule Changes Intended To Streamline Disclosures Of Business Operations, Risk Factors And Legal Proceedings
The SEC recently proposed revisions to Regulation S-K to streamline public companies' disclosures of their business operations, risk factors and legal proceedings.
United States
19 Aug 2019
3
Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 2019
4
Massachusetts Regulators Placing Increased Focus On Cannabis-Related Securities Offerings
Massachusetts Secretary of State Bill Galvin and his Securities Division are increasingly turning their attention toward securities offerings in the cannabis industry
United States
4 Jul 2019
5
Investment Adviser Agrees To Pay $5 Million For Compliance Deficiencies In Valuing Client Assets
On June 4, 2019, the SEC announced that Deer Park Road Management Company, LP, a prominent private fund manager in the mortgage-backed securities space and registered investment adviser...
United States
13 Jun 2019
6
Pioneering Dutch Law Raises Global Standards For Eliminating Child Labor In Supply Chains – Understanding The Dimensions Of Compliance
The Dutch Senate recently adopted the Child Labour DDA, a new measure with far reaching implications for the sourcing, manufacturing, and consumption of products that contain inputs from the bodies of child laborers.
Netherlands
11 Jun 2019
7
OFAC Issues "A Framework For OFAC Compliance Commitments"
On May 2, 2019, the U.S. Department of the Treasury's Office of Foreign Assets Control ("OFAC") released "A Framework for OFAC Compliance Commitments."
United States
22 May 2019
8
SEC Announces Meeting To Consider Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
Yesterday, the SEC announced that it would hold a public meeting on Thursday, May 9, 2019 to consider whether to propose amendments to the "accelerated filer"
United States
20 May 2019
9
DOJ Criminal Division Publishes Guidance On Evaluating Corporate Compliance Programs
This week the U.S. Department of Justice (DOJ) Criminal Division released revised guidance on the "Evaluation of Corporate Compliance Programs."
United States
20 May 2019
10
DOJ Issues New Guidance On False Claims Act Investigation Cooperation Credit
The Department of Justice Civil Division this week issued a long-awaited policy regarding the circumstances under which companies and individuals can receive cooperation credit in False Claims Act investigations.
United States
16 May 2019
11
SEC Proposes Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
Yesterday, the SEC announced that it is proposing amendments to the "accelerated filer" and "large accelerated filer" definitions to "reduce costs without harming investors for certain smaller public companies...
United States
16 May 2019
12
Trends In Securities Enforcement Discussed At BBA's White Collar Conference
We have been writing about white-collar enforcement trends discussed at the Boston Bar Association's recent White Collar Crime Conference (see here and here). Today we look
United States
16 May 2019
13
UPDATE: SEC Adopts Streamlined Process For CTR Extensions
Just hours after our recent blog post regarding the need to use the traditional process for CTR extensions, the SEC announced the adoption of a new streamlined process for CTR extensions.
United States
9 May 2019
14
DOJ And OFAC Actions Highlight Importance Of Compliance In International M&A
Recent actions taken by the Department of Justice ("DOJ") and the Department of Treasury's Office of Foreign Assets Control ("OFAC") have highlighted the importance of due diligence in the
United States
2 May 2019
15
Trap For The Unwary: You Still Need To Renew Confidential Treatment Requests Filed Under The Old Rules
A confidential treatment order for information redacted from an exhibit is about to expire. Under SEC rules that took effect last week (see our prior blog posts here and here),
United States
2 May 2019
16
Supreme Court Extends Securities Fraud Liability To Knowing Dissemination Of False Statements Made By Others
Recently, in Lorenzo v. Securities and Exchange Commission, No. 17-1077, the Supreme Court held that an investment banker had committed securities fraud by copying and pasting false statements.
United States
1 May 2019
17
SEC Staff Issues Additional Guidance On Exhibit Redactions
The SEC staff has issued supplemental guidance regarding its new rules for the redaction of confidential information from certain exhibits, which take effect today.
United States
15 Apr 2019
18
SEC Continues Its Disclosure Simplification Initiative
A few changes will require modest additional disclosures.
United States
11 Apr 2019
19
Is Your Company's Board Of Directors Cyber Savvy?
governance, management, survey, risk, response, report, cyber, breach, board of directors, Advanced Cyber Security Center, ACSC, corporate
United States
5 Apr 2019
20
Cannabis Companies Need To Think About Compliance For Every Step Of Their Business: Consider Enterprise Risk Management, Says Acreage's Compliance Chief
There is no business quite like cannabis, and very few that need constant attention to regulatory compliance in every aspect of operations.
United States
12 Mar 2019
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