On June 20, 2023, the Securities and Exchange Commission (SEC) charged New York-based investment adviser Insight Venture Management LLC with overcharging management fees and failing to disclose a c...
In a recent address at the Securities Enforcement Forum West Conference, Gurbir Grewal, the Director of the Division of Enforcement for the U.S. Securities and Exchange Commission (SEC), made headl...
The SEC whistleblower program allows individuals to anonymously report potential securities law violations in exchange for financial rewards if their tip leads to successful SEC enforcement actions...
As we cross the midpoint of 2023, labor scarcity is emerging as a pressing economic issue in many countries. From aging populations to skill mismatches, several factors contribute to this labor sho...
Special Purpose Acquisition Companies (SPACs) experienced a meteoric rise in 2020, serving as a popular vehicle for taking emerging private companies public. However, increased regulatory oversight...
The Securities and Exchange Commission (SEC) made an impactful regulatory change on February 15, 2023, trimming down the standard settlement cycle to one business day (T+1) from the previous two bu...
This article delves into the intricacies of the SEC's whistleblower program, its ramifications for corporate entities, and the hurdles that compliance frameworks are currently grappling with.
Direct listing regulations continue to undergo revisions, the most recent of which is a rule change by Nasdaq approved on December 2, 2022. Although the Exchange has been striving to make the proce...
Commencing on June 3, 2023, the Financial Industry Regulatory Authority (FINRA) will introduce changes to the procedure for submitting a Company-Related Action Notification form. This form initiate...
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