Seminar November 13, 2023
9:00 a.m. – 12:45 p.m. ET
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Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon by the FinTech revolution. Many of the financial service regulators have been looking at these developments with a keen interest. The regulatory landscape
Webinar: July 12, 2023
3:00 p.m. – 4:00 p.m. EDT
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The New York Department of Financial Services (NYDFS) has proposed revisions to its cybersecurity regulation for banks, insurance companies and other financial services companies. The proposal significantly expands requirements for covered entities, including new requirements for larger companies, expanded governance requirements, additional
February 14, 2023 Webinar
1:00 pm – 2:00 pm ET
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Financial market participants increasingly rely on technological tools such as predictive data analytics, artificial intelligence (AI)/machine learning (ML), differential marketing and game-like features to provide financial services to customers. These tools, also referred to as Digital Engagement Practices (DEPs), are common features
The update includes discussions of the recent regulatory approach to digital currencies, the accounting and disclosure consequences of the Russian invasion of the Ukraine and subsequent sanctions, the unexpected SEC staff position regarding Rule 15c2-11
The CB Insights’ recently-published Tech Valuations Report comments on technology company valuations trends and reports on a continued decline during the third quarter of the year. The report attributes this in part to continued cautiousness on the part of investors given market volatility.
The report indicates that median tech valuations dropped across most investment stages
November 17, 2022 Webinar
1:00pm ET
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Knowing where and how to invest in human capability can be material in Securities Exchange Commission (SEC) disclosures and can be a sustainable and competitive differentiator.
During this webinar, hosted by The Conference Board, panelists will present a framework for human capability to disclose, monitor, and
On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (“SEC”) announced its examination priorities for 2022. This year’s priorities specifically focus on: (i) private funds; (ii) environmental, social and governance investing; (iii) standards of conduct, including Regulation Best Interest, fiduciary duty and Form CRS; (iv) information security and operational
What’s new in the 2021 update of Corporate Finance and the Securities Laws? Quite a lot. Highlights in the update include discussions addressing: digital currencies, electronic document delivery, “green bonds” and sustainability-linked bonds, developments in the convert market, which was particularly active in 2020 and 2021, and developments in the insurance-linked market. The update
The NYSE’s yearly statistics release highlights a second consecutive year of record new listings and the exchange’s increased focus on sustainability. This year’s listings added $1 trillion of new market capitalization to the exchange, with a total of 2,400 companies listed. Technology, biotech, and consumer products companies were prominently represented. Four of the five largest
In their dataset and working paper, titled The Rise of Dual-Class Stock IPOs, Dhruv Aggarwal, Ofer Eldar, Yael Hochberg, and Lubomir P. Litov, find that the rise in the number of dual-class IPOs is tied to the increase in bargaining power of founders. In recent years, before 2019, the public markets saw a decrease