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Oct 2, 2024 | 
mondaq.com | David Adams |Steve Ganis
M
Mintz
More
Mintz is a general practice, full-service Am Law 100 law firm with more than 600 attorneys. We are headquartered in Boston and have additional US offices in Los Angeles, Miami, New York City, San Diego, San Francisco, and Washington, DC, as well as an office in Toronto, Canada.
New for 2024, Compliance with the Corporate Transparency Act...
United States
Corporate/Commercial Law
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Oct 2, 2024 | 
jdsupra.com | David Adams |Steve Ganis
Your Reporting Requirements under the Corporate Transparency Act Summary The Corporate Transparency Act (CTA), enacted by Congress in an effort to combat money laundering and other illicit activities, requires a reporting company to report electronically through a secure filing system its beneficial ownership information (BOI) to a division of the US Treasury Department, the Financial Crimes Enforcement Network (FinCEN).
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Apr 24, 2024 | 
mondaq.com | Cory S. Flashner |Steve Ganis |David Adams |Patrick McDonough
On March 27, 2024, the SEC received a favorable—if at
least somewhat split—decision when Judge Failla of the SDNY
denied a motion by Defendants Coinbase, Inc. and Coinbase Global,
Inc. (collectively, "Coinbase") for judgment on the
pleadings, seeking to dismiss the SEC's case against it in SEC v. Coinbase, Inc. and Coinbase
Global, Inc.
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Oct 9, 2023 | 
jdsupra.com | David Adams |Steve Ganis |Kari Harris
The US Securities and Exchange Commission (“SEC”) recently finalized sweeping new rules for private fund advisers (the “PFA Rules”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The PFA Rules reflect the SEC’s stated goal of bringing more transparency to private funds by mandating additional and more granular disclosures. However, they also restrict or impose substantial limitations on certain contractual provisions and industry practices.
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Oct 6, 2023 | 
mondaq.com | David Adams |Kari Harris |Steve Ganis |Talia S. Primor
The US Securities and Exchange Commission
("SEC") recently finalized sweeping new rules for
private fund advisers (the "PFA Rules")
under the Investment Advisers Act of 1940, as amended (the
"Advisers Act"). The PFA Rules reflect
the SEC's stated goal of bringing more transparency to private
funds by mandating additional and more granular disclosures. However, they also restrict or impose substantial limitations on
certain contractual provisions and industry practices.
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Oct 4, 2023 | 
lexology.com | David Adams |Kari Harris |Steve Ganis |Talia S. Primor
The US Securities and Exchange Commission (“SEC”) recently finalized sweeping new rules for private fund advisers (the “PFA Rules”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The PFA Rules reflect the SEC’s stated goal of bringing more transparency to private funds by mandating additional and more granular disclosures. However, they also restrict or impose substantial limitations on certain contractual provisions and industry practices.
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Aug 11, 2023 | 
mondaq.com | David Adams |Steve Ganis |Kari Harris |Pete Michaels
The US Securities and Exchange Commission ("SEC") recently proposed rules for
conflicts of interest in the use of predictive data analytics or
similar technologies ("PDA-like technologies") by
broker-dealers and investment advisers (the "PDA Conflicts
Rules" or "proposed rules"). The proposed rules
would generally require broker-dealers and investment advisers to
"eliminate or neutralize the effects" of conflicts
associated with the use of covered technologies in investor
interactions.
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Aug 10, 2023 | 
natlawreview.com | Polsinelli PC |Steve Ganis
Steve has over 15 years of experience as a government and private-sector lawyer practicing financial services law, specializing in the federal banking, securities, and derivatives laws. He is globally recognized for his knowledge of anti-money laundering (AML) and sanctions regulations.
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Aug 10, 2023 | 
lexology.com | David Adams |Steve Ganis |Kari Harris |Pete Michaels |Talia S. Primor
The US Securities and Exchange Commission (“SEC”) recently proposed rules for conflicts of interest in the use of predictive data analytics or similar technologies (“PDA-like technologies”) by broker-dealers and investment advisers (the “PDA Conflicts Rules” or “proposed rules”). The proposed rules would generally require broker-dealers and investment advisers to “eliminate or neutralize the effects” of conflicts associated with the use of covered technologies in investor interactions.
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Jul 31, 2023 | 
mondaq.com | Steve Ganis |Kari Harris |Pete Michaels |Talia S. Primor
The US Securities and Exchange Commission ("SEC") published two new rule proposals this week and
has finalized two rulemakings this month, indicating
that its aggressive rulemaking agenda is on track,
if not ahead of schedule. Last month, the SEC set timelines for
proposing 18 new rulemakings in the planning stage and finalizing
37 existing rulemaking proposals. Many rulemakings targeted a fall
2023 release date.
