Alerts By Jesse Fishman and Ankita Patel
Delaware adopted new amendments to its General Corporation Law (DGCL) on July 16, 2020. Amendments to sections 102, 110, 116, 145, 212, 228, 232, 251, 363, 365 and 367 appear to respond to
Latest from Securities Compliance Sentinel - Page 4
Sorry, No Picture of George or Abe, But Still Money
Recently, the United States District Court of the District of Columbia refused to dismiss money laundering charges against a defendant who was allegedly engaged in a darknet cryptocurrency scheme. See U.S. v. Harmon, Case Number 1:19-cr-00395-BAH (D.D.C. July 24, 2020) .
Essentially,
Now Available Fox Rothschild’s National Survey on Restrictive Covenants – 2020 Edition
Fox Rothschild’s Securities Industry Group and Labor & Employment Department have updated the firm’s National Survey on Restrictive Covenants, a quick reference guide for in-house counsel and human resource professionals in a variety of industries.
Restrictive covenant law is in
Bitcoin Exchanges and the Cryptocurrency World Was Just Rocked
In an unexpected to say the least case of first impression, the United States Court of Appeals for the Fifth Circuit, essentially, blew away the privacy doors of the cryptocurrency world when it forced a Bitcoin exchange to disclose user
The DOL: The New Securities Regulator?
The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have considerable effect on the securities industry.
Initially, the DOL allowed
Risk Factor Considerations in the time of COVID-19
By Jesse Fishman and Laura Holm
In Quarterly Reports on Form 10-Q, companies are required to disclose any material changes to risk factors that were included in their most recent Annual Report on Form 10-K. Many companies do not update
Join Jon Heyl and Alex Kerzhner Discussing Challenges the PE/HF Industry Faces During the Pandemic
Join our colleagues, Jon Heyl and Alex Kerzhner, in what is sure to be an important review of the challenges facing the PE/HF industry during the pandemic. The webinar will take place on Thursday, June 4, 2020 at 2
Cybersecurity: An Issue for BDs and RIAs During this Pandemic
Sadly, the hackers of the world have not let the pandemic get in the way of their nefarious activities. In particular, BDs and RIAs have been primary targets. In our prior blog postings, we discussed business continuity plans and the
Fox Rothschild’s Securities Industry Group Members Oksana Wright and Charles DeMonaco Publish Article on Corporate Compliance Measures During the Covid-19 Crisis
Oksana Wright and Charles DeMonaco discuss the management and corporate compliance measures for the companies to prioritize during the time of cost-cutting and uncertainty:
https://www.corporatecomplianceinsights.com/corporate-compliance-during-covid-19/
“A Rose by Any Other Name Would Smell as Sweet,” Not So for BDs and Advisors
Although we are certain that Shakespeare never had to deal with the vagaries of Regulation BI, we do, and, in a series of questions relating to Regulation BI, the SEC Staff made it abundantly clear that, if you are a