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Some Current Articles in
Securities & Commodities Regulation:
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The Use of AI in the Securities Industry: U.S. Regulatory Considerations for Broker-Dealers and SEC-Registered Investment Advisers by Jennifer D. Morton – A&O Sherman
Duty Bound: A Comparison of Insider Trading Law in the United States and the European Union by Jonathan S. Sack and Christian B. Ronald – Morvillo Abramowitz Grand Iason & Anello P.C.
Fraud in the Technology Age: Strategies for Detection, Prevention, and Navigating Regulatory Inquiries by Jan M. Folena and Samantha B. Kats – Stradley Ronan Stevens & Young LLP
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Navigating the Corporate Transparency Act and the Future of Beneficial Ownership Reporting by Lisa R. Jacobs, Lori S. Smith, David J. Winkowski, and John M. Baker – Stradley Ronan Stevens & Young LLP
How to Navigate the Evolving Standards of Care for Retail Investment Advice by Lindsay B. Jackson, Daniel Kleinman, and Natalie R. Wengroff – Morgan, Lewis & Bockius LLP
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Navigating Securities Prohibitions in U.S. Sanctions by Laura Deegan, Annie Cho, and Igor Dos Santos – Miller and Chevalier Chartered
SEC and FinCEN Propose Customer Identification Program Requirements for Certain Investment Advisers by Matthew Bisanz, Adam Kanter, Brad Resnikoff, Dylan C. Platt, and Kelly Truesdale – Mayer Brown LLP
2024 Proxy Season Roundup – Environmental Proposals Still a Focus for Investors by Rebecca E. Boon and Mathews R. de Carvalho – Bernstein Litowitz Berger & Grossman
FCPA: An Overview on Compliance and Enforcement by Palmina M. Fava, Mia Wolosky, and Daniel Fisher – Vinson & Elkins LLP
Suspect Corrupt Payments? How to Navigate a Potential Corporate Crisis by Laura Perkins, Michael DeBernardis, and Katherine Taylor – Hughes Hubbard & Reed LLP
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FPIs in SPAC Land – Considerations for Foreign Private Issuers in Connection with SPACs by Paul M. Dudek – Latham & Watkins LLP
Navigating the ESG Landscape as a Private Fund Adviser – by Jennifer Songer and Lindsey L. Wiersma – Paul, Weiss, Rifkind, Wharton & Garrison LLP
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What Nominating/Governance Committees Should Know About Recent SEC Rulemaking by David R. Frederickson – Covington & Burling LLP
The Impact of DOJ’s New Individual Disclosure and Whistleblower Programs on Enforcement by Daniel S. Kahn – Davis Polk & Wardwell LLP
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DOJ Disclosure and Whistleblower Programs Demand ‘Prudent’ Companies Adopt an Effective Internal Investigations Strategy by William J. Hochul – Davis Polk & Wardwell LLP
2023 Developments for Auditor Regulation Under the U.S. Securities Laws by John Rizio-Hamilton, Jesse L. Jensen, and Thomas Sperber – Bernstein Litowitz Berger & Grossman
Issues in Internal Investigations by Ilan Graff, Nicole R. Love, and Eamon O’Neill – Fried, Frank, Harris, Shriver & Jacobson LLP
The Rise of Interval and Tender-Offer Unlisted Closed-End Funds by Joshua B. Deringer and Kellilyn Greco – Faegre Drinker Biddle & Reath LLP
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Some Current Articles in
Banking & Financial Services:
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The Slow Burn of Artificial Intelligence Regulation in the Financial Services Industry by Michelle N. Tanney, Theresa M. Weisenberger, and Isabella Corbett Sterling – Baker & Hostetler LLP
“Naked” Section 363 Sales in Restructurings of Life Sciences Companies May Maximize Value by Ari B. Blaut and Benjamin S. Beller – Sullivan & Cromwell LLC
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FBO Accounts: Maximizing Benefits While Minimizing Risks in Fintech Partnerships by Andrew E. Bigart and Max Bonici – Venable LLP
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Corporate Transparency Act: The Expansion of Beneficial Ownership Reporting Requirements by Zila Acosta-Grimes and Nina Zegarra-Schmidt – Linklaters LLP
Board Oversight of Cybersecurity Matters by Kristina Littman and Erik Holmvik – Willkie Farr & Gallagher LLP
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Drop-Down Financings in Today’s Market by Adam L. Shpeen, Jon F & inelli, and Timothy H. Oyen – Davis Polk & Wardwell
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Navigating Special Purpose Credit Programs by Olivia Kelman, Andrea K. Mitchell, and Lanette Suárez Martin – Mitchell Sandler PLLC
Data Privacy Developments in the Mortgage Industry by Theodore P. Augustinos – Locke Lord LLP
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FAPA and the Groundbreaking Impact on the Mortgage Industry by Andrew B. Messite and Michael V. Margarella – Reed Smith LLP
Private Credit Restructuring Trends: Wearing Multiple Hats and Managing Equitable Subordination Risk by David M. Hillman, Peter J. Young, and Maximilian A. Greenburg – Proskauer Rose LLP
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