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2 weeks ago | 
corpgov.law.harvard.edu | Tami Stark |Ladan Fazlollahi Stewart |Joel Cohen
Artificial intelligence, Crypto, enforcement, SECMore from: Joel Cohen, Ladan Stewart, Tami Stark, White & CaseTami Stark, Ladan Stewart, and Joel Cohen are Partners at White & Case LLP. This post is based on a White & Case memorandum by Ms. Stark, Ms. Stewart, Mr. Cohen, Maria Beguiristain, Brent Wible, and Robert DeNault. Paul Atkins has taken the reins of the US Securities and Exchange Commission (SEC).
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Dec 12, 2024 | 
jdsupra.com | Tami Stark
December 12, 2024 Melinda Anderson, Kimberly Petillo-Décossard, A.J. Ericksen, Elodie Gal, Maia Gez, Sarah Hernandez, Danielle Herrick, David Johansen, Scott Levi, Patti Marks, Daniel Nussen, Jason Rocha, Jonathan Rochwarger, Joel Rubinstein, Michelle Rutta, Elliott Smith, Tami Stark White & Case LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: White & Case's Public Company Advisory Group has conducted a survey of publicly...
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Nov 25, 2024 | 
corpgov.law.harvard.edu | Maia Gez |Michelle Rutta |Tami Stark
cyber disclosure, Public Companies, Regulation Fair Disclosure, SECMore from: Maia Gez, Michelle Rutta, Tami Stark, White & CaseMaia Gez, Michelle Rutta, and Tami Stark are Partners at White & Case LLP. This post is based on a White & Case memorandum by Ms. Gez, Ms. Rutta, Ms. Stark, Scott Levi, F. Paul Pittman, and Danielle Herrick.
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Nov 14, 2024 | 
jdsupra.com | Claudette Druehl |Tami Stark
On October 21, 2024, the US Securities and Exchange Commission ("SEC") Division of Examinations ("Examination Division") announced its 2025 Examination Priorities ("Report").1 Investment advisers and broker-dealers should ensure that policies, procedures and surveillance efforts related to these priorities address concerns outlined in the Report. The Examination Division conducts inspections of entities registered with the SEC, including investment advisers and broker-dealers.
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Oct 21, 2024 | 
corpgov.law.harvard.edu | Michelle Rutta |Tami Stark |Scott Levi
ESG, SEC, Securities Exchange Act, SustainabilityMore from: Michelle Rutta, Scott Levi, Tami Stark, White & Case Michelle Rutta, Scott Levi, and Tami Stark are Partners at White & Case LLP. This post is based on a White & Case memorandum by Ms. Rutta, Mr. Levi, Ms. Stark, Maia Gez, and Gabriella Klein.
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Sep 25, 2024 | 
lexology.com | Tami Stark |Maia Gez |Scott Levi |Michelle Rutta
On September 9, 2024, the US Securities and Exchange Commission (“SEC”) announced settled charges against seven public companies for violation of the whistleblower protection rule in connection with employment, separation, and other agreements.1 The SEC charged each company with violating whistleblower protection Rule 21F-17(a) under the Securities Exchange Act of 1934, which prohibits impeding an individual from communicating with SEC staff about possible securities law violations.
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Sep 24, 2024 | 
corpgov.law.harvard.edu | Maia Gez |Scott Levi |Tami Stark
Activists, DOJ, Rule 13f-2, SECMore from: Maia Gez, Scott Levi, Tami Stark, White & CaseMaia Gez, Scott Levi, and Tami Stark are Partners at White & Case LLP.
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Sep 16, 2024 | 
lexology.com | Joel Cohen |Marietou Diouf |Tami Stark |Pratin Vallabhaneni |Claudette Druehl |Robert J. DeNault
On August 28, 2024, FinCEN issued a long-awaited final rule meant to address illicit finance activities and national security threats in the asset management industry. The new rule imposes similar requirements on investment advisers that have existed for broker-dealers since 2001 and ends a period of uncertainty for registrants in this area.
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Sep 10, 2024 | 
corpgov.law.harvard.edu | Tami Stark |Claudette Druehl |Robert J. DeNault
Advisers Act, Civil Penalties, Exchange Act, SEC, self-disclosureMore from: Claudette Druehl, Robert DeNault, Tami Stark, White & CaseTami Stark is a Partner, Claudette Druehl is a Counsel, and Robert DeNault is an Associate at White & Case LLP. This post is based on their White & Case memorandum.
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Aug 29, 2024 | 
jdsupra.com | Robert J. DeNault |Claudette Druehl |Tami Stark
On August 14, the U.S. Securities and Exchange Commission (“SEC”) announced yet another wave of enforcement actions related to widespread “off-channel communications,” charging an additional 26 firms with failing to maintain employee communications on personal devices which related to the firms’ business.1 The new settlements add nearly $400 million to the billions in civil penalties that the SEC has collected from more than 50 firms over the last few years for recordkeeping failures related...
