Topic
Disclosure
829 published works
The Securities Law Blog
SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in…
Banking, Finance and Securities
FCA publishes discussion paper on admissions and disclosures and the market abuse regime for cryptoassets
By Hannah Meakin (UK), Anita Edwards, Simon Lovegrove (UK)
On 16 December 2024, the Financial Conduct Authority (FCA) published a discussion paper, DP24/4, on admissions and disclosures (A&D) and the market abuse regime for cryptoassets (MARC). The proposals The…
Taking Care of HR Business
Deadline Approaching for Federal Contractors to Object to Disclosure of EEO-1 Reports
Federal contractors have until December 10, 2024, at 11:59 p.m. to file written objections to the disclosure of their EEO-1 Type 2 Consolidated Reports in response to a recent Freedom…
The Securities Law Blog
SEC Charges Independent Director and Ex-CEO of Church & Dwight With Concealing Close Friendship with Company Executive
The Securities and Exchange Commission today announced settled charges against James R. Craigie, a former CEO, Chairman, and board member of Church & Dwight Co. Inc., for violating proxy disclosure…
Regulatory Oversight
SEC Cybersecurity Incidents Disclosures: Materiality, Decryptors, and Ransom Payments
Dear Mary, I work for a public company that recently experienced a ransomware attack. Fortunately, we were able to restore our business operations quickly by obtaining a decryption key from…
Free Writings + Perspectives
The State of Disclosure Review
By Ali Perry, Carlos E. Juarez
The Director of the SEC’s Division of Corporation Finance (the “Division”), Erik Gerding, shared his views on the state of public company disclosures during 2023 and the SEC Staff’s review…
Regulatory Oversight
30 States Reach Settlement Outlining Expectations for Paid Endorsements
By Troutman Pepper Locke State Attorneys General Team
Last week, a bipartisan coalition of 30 state attorneys general (AG), led by Florida, Illinois, New York, and Texas, reached a settlement with Cameo — an online service that allows…
Allens Insights
(WIP) ASX crackdown on investor presentations
By Allens
Presenting at a mining conference: ASX guidance you need to know 5 min read Every year, from July to October, we observe an increase in the frequency of corporate conferences…
Litigation Finance Journal
Lawyers for Civil Justice Submits Letter to House Subcommittee in Support of Funding Disclosure Rules
By John Freund
As LFJ reported last month, a committee hearing in the US House of Representatives brought a renewed focus on the issue of disclosure and transparency in the use of third-party……
The SEC Institute Blog
CorpFin Director Provides Review Program Update
On June 24, 2024, Corporation Finance Director Eric Gerding gave an Announcement titled “The State of Disclosure Review,” and stated that “[t]his is part of an initiative to be more…