Every parent wants their kid to succeed. If the kid wants to be a soccer superstar, you help your kid. Maybe a high-end sports camp will take your kid’s talent to the next level, so you send them to IMG
You are happily working at a public company with 100,000+ shares of stock. The stock price was in the dumps. It was close to $20 per share when you started and was now down to less than $0.50. Telehealth was
The Securities and Exchange Commission has embraced President Trump’s regulatory review and rollback Executive Order. It’s also addressing the Registered Fund Association’s concerns about proposed rules in 2024.
First up the SEC is extending the compliance dates for the
Last week a legal case tacked a novel issue involving Artificial Intelligence. The defendant used Claude, Anthropic’s AI platform, to prepare reports that outlined his possible defense strategy. The defendant argued that the reports were subject to privilege. The government
Financial Industry Regulatory Authority Rule 2210 generally prohibits the use of “predictions and projections” in written communications with the public. FINRA has proposed to dramatically curtail that prohibition.
The proposed amendment to Rule 2110 tries to align with the Investment
Goodwin Procter put together an informative summary of the California’s Fair Investment Practices by Venture Capital Companies. The compliance date is March 1, 2026 for venture capital fund sponsors.
Unlike some of California’s other diversity initiatives, this law does
Here are some compliance-related stories that recently caught my attention.
by TRM LAbs
We have a few examples of eavesdropping as a source of information for fraudulent insider trading. This was a heightened problem during the work-at-home era and interacting with family members. The insider trading case against a translator was a new
The Securities and Exchange Commission labels language purporting to limit an adviser’s liability in an advisory agreement as a “hedge clause.” In 2019, the SEC published the Commission Interpretation Regarding Standard of Conduct for Investment Advisers summarizing its position on
Private Equity, BAD!!
Bad Company is an overly simplistic tale of capitalism. The author seems to equate private equity with Leveraged Buy-Outs. But that is just one business model. It’s true that the private equity capital stack uses more debt
