Resource Library

On April 3, 2024, the US Securities and Exchange Commission announced that it had reached a $6.5 million settlement with registered investment adviser (RIA) Senvest Management, LLC on charges related to the firm’s “widespread and longstanding failures to maintain and preserve certain electronic communications.”

This article analyze potential lessons learned from this latest off-channel communications SEC enforcement action.

This guide provides in-house counsel, government agencies and private practice lawyers with a practical insight into cartel enforcement policy and procedure, including leniency/amnesty regimes, administrative settlement, sanctions and appeals.

This guide covers common issues in public investment funds – including registration, regulatory framework, marketing of public funds, and tax treatment – in 19 jurisdictions.

This guide covers key legal issues, rules, and developments regarding fraud and asset tracing across a range of jurisdictions.

On March 6, 2024, the US Securities and Exchange Commission approved final rules requiring companies to disclose certain climate-related information in registration statements and annual reports.

This resource explains the requirements set forth in the final rules and sets forth practicalities and next steps for compliance.

This handbook provides an overview of US state and federal laws and stock exchange rules relating to annual meetings of shareholders. It is intended to assist companies in preparing for their annual meetings.

This guide provides comprehensive insight into banking regulation in 19 jurisdictions around the world.

This guide covers key topics including regulatory architecture, bank capital requirements, bank governance/internal controls, Fintech, and rules governing banks’ relationships with their customers and other third parties.

The US Securities and Exchange Commission on March 6, 2024 adopted final rules requiring registrants to disclose certain climate-related information in registration statements and annual reports.

This high-level summary from Latham & Watkins outlines the disclosures required by the final rules, the key differences from the proposed rules, and new compliance dates.

This multi-jurisdictional guide is designed to provide insight into the practicalities of M&A, highlighting market trends and legal developments as well as practical and strategic considerations.

This guide from Latham & Watkins and KPMG is designed to provide a roadmap to help navigate the financial statement requirements of the US federal securities laws.