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The Review of Securities & Commodities Regulation and
The Review of Banking & Financial Services.

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To learn more about our publications click on the "About the Reviews" link above.
Some recent articles for each review are listed below. To read first page of an
article click on the title.


CLE Credit


 
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Some Current Articles in
Securities & Commodities Regulation:

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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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The Decade-Long War for a Spot Bitcoin ETP Approval and the Next Battle by Tiffany J. Smith, Joseph Toner, and Joshua Nathanson – Wilmer Cutler Pickering Hale and Dorr LLP

Addressing Regulatory Risk in M&A Agreements by Katherine Ashley, David Wales, and Erik Elsea – Skadden, Arps, Slate, Meagher & Flom LLP

 

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Some Current Articles in
Banking & Financial Services:

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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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AI in Financial Services:  Balancing the Benefits of AI With Legal and Regulatory Risks by Juan Azel and Camila Machado – Winston & Strawn LLP

Valuing Contributions by Affiliates in Mass Tort Bankruptcies Post-Purdue by Melanie Cyganowski, David Castleman, and Michael Maizel – Otterbourg, Steindler, Houston & Rosen, P.C.

 

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Please click here to see a listing of articles in reverse chronological order 2000 - June 2024 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order 2000 - June 2024 for The Review of Banking & Financial Services