Asset Management

  • January 01, 2025

    Five Massachusetts Cases To Watch In 2025

    Massachusetts will be at the forefront of significant litigation on multiple fronts, including a landmark gun case before the nation's top court, antisemitism claims on the campus of the nation's oldest university, and an executive fighting back after largely defeating charges in the "Varsity Blues" college admissions scandal.

  • January 01, 2025

    How Wall Street Regulators May Adapt To Trump's Return

    The incoming presidency of Donald Trump is likely to upend some Biden-era policies at the U.S. Securities and Exchange Commission, leaving proposed rules on climate and artificial intelligence in the lurch while its sister agency, the U.S. Commodity Futures Trading Commission, could be given more authority over the cryptocurrency industry.

  • January 01, 2025

    5 Big Questions For White Collar Enforcement In 2025

    White-collar lawyers are bracing for potentially seismic shifts in government enforcement as President-elect Donald Trump returns to the White House with a sweeping new set of priorities and a squadron of tech gurus and political allies to carry them out.

  • January 01, 2025

    5 Energy Transactional Trends To Watch In 2025

    A second Donald Trump presidency and a resulting shift in federal policy away from clean energy and toward fossil fuels will cloud the dealmaking environment for the energy industry, but attorneys believe the deal pace will remain brisk across the sector. Here are five transactional trends that are worth watching closely this year.

  • January 01, 2025

    3 Areas Where SEC Enforcement May Change Under Trump

    The leadership of the U.S. Securities and Exchange Commission is slated to change hands in three weeks when President-elect Donald Trump is inaugurated, and attorneys believe that a Republican-led SEC is likely to bring with it a downturn in crypto- and climate-related cases as well as a potential end to recordkeeping sweeps.

  • January 02, 2025

    D&O, Cyber Issues Top Specialty Line Cases To Watch In 2025

    2025 promises to usher in significant developments in ongoing litigation fights over crucial specialty line insurance issues, including directors and officers and cyber risk policies. Here, Law360 speaks to experts for carriers and policyholders on the top cases to watch in the new year.

  • January 01, 2025

    Delaware Courts Face Complex, 'Exciting' Litigation In 2025

    Delaware's corporate and commercial law courts are heading into 2025 with a heavier caseload than ever, while facing unprecedented criticism from the corporate bar, state lawmakers and unhappy litigants in a changing social and political landscape.

  • January 01, 2025

    IPO Outlook Brightens As More Companies Eye 2025 Listings

    Capital markets attorneys are preparing to advise more companies toward initial public offerings in 2025, given evidence that a rising number of candidates are joining the pipeline in expectation of a long-awaited resurgence in new listings. ​​Here, Law360 looks at what deals attorneys and market participants expect.

  • January 01, 2025

    5 Cases Benefits Attorneys Should Keep An Eye On In 2025

    The U.S. Supreme Court will hear Cornell University workers' bid to revive a retirement plan lawsuit, the Ninth Circuit will weigh whether a nicotine surcharge dispute belongs in arbitration, and the Second Circuit will hear Yale University defend a win in a fight over retirement plan fees and investments. Here are five cases benefits lawyers should have on their radar in the new year.

  • January 01, 2025

    Trials To Watch In 2025

    The coming year will bring the first bellwether trials in the closely watched federal baby formula mass litigation, the first courtroom battle over a COVID-19 vaccine patent and six major retailers' case against Visa and Mastercard over card swipe fees.

  • January 01, 2025

    5 Policy Changes Benefits Attys Should Watch For In 2025

    With President-elect Donald Trump poised to return to the White House, experts are bracing for potential changes including shifts from the U.S. Department of Labor on who qualifies as a regulated fiduciary under benefits law to whether retirement plans can consider environmental and social factors when picking investments. Here, Law360 looks at five employee benefits policy issues to keep an eye on in the new year.

  • January 01, 2025

    Trump's Regulatory Agenda Looms Over Compliance In 2025

    The world of financial regulatory compliance will be keeping an eye on how Donald Trump's return to the White House will live up to his campaign promises of deregulation, new tariffs and more in the new year, while preparing for the end of various Biden administration priorities.

  • December 23, 2024

    OCC Orders BofA To Enhance BSA Compliance Programs

    The Office of the Comptroller of the Currency on Monday ordered Bank of America NA to take several corrective actions to enhance its Bank Secrecy Act and anti-money laundering sanctions compliance programs to resolve claims the bank had deficiencies in these programs and failed to timely file suspicious activity reports.

  • December 20, 2024

    SEC's Dealer Rule Loss Is A Lesson To Regulators, Atty Says

    A Sullivan & Cromwell LLP attorney who successfully litigated a crypto industry challenge to vacate a U.S. Securities and Exchange Commission rule expanding the definition of dealer said the Texas federal judge's decision is another block in the recent chain of court decisions warning federal agencies to refrain from stretching old statutory terms to reach new contexts that aren't clearly within their authority.

  • December 20, 2024

    TD Bank, Boeing And Medicare: Compliance Headlines In 2024

    Corporate compliance lessons were never far from the headlines in 2024, as regulatory challenges and headaches facing industries ranging from healthcare to aerospace played front and center, including TD Bank's historic $3.1 billion money laundering settlement that federal prosecutors billed as one for the risk-management textbooks.

  • December 20, 2024

    Argentina Asks Justices To Review Bondholders' $310M Win

    Argentina wants the U.S. Supreme Court to resolve a circuit split over what law applies when determining whether a country's assets are shielded from creditors under the Foreign Sovereign Immunities Act, saying its reversionary interests worth $310 million in collateral backing recently matured 1990s Brady bonds are immune.

  • December 20, 2024

    A Look Back At 2024's Major Securities Litigation Moments

    The private securities litigation bar experienced a busy 2024, with meaningful and significant rulings in almost all of the nation's leading courts, and corporations, investors, government agencies and executives fighting over pay packages, disclosures, class certifications and mergers.

  • December 20, 2024

    Suit Slams SEC's Use Of 'Career Death Penalty'

    A father and son who settled allegations of defrauding investment advisory clients with the U.S. Securities and Exchange Commission are suing in D.C. federal court to block the agency from barring them from the securities industry, claiming that the administrative case is unconstitutional.

  • December 20, 2024

    Wells Fargo, LPL Financial Fined $3.6M For Bad Trading Data

    Wells Fargo Clearing Services LLC and LPL Financial LLC on Friday each agreed to pay separate $900,000 fines to the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority to resolve claims they failed to provide complete and accurate securities trading information, known as blue sheet data.

  • December 20, 2024

    Deutsche Bank Unit To Pay SEC $4M For Untimely SARs

    Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, has agreed to pay $4 million to the U.S. Securities and Exchange Commission to resolve claims that the registered broker-dealer did not file certain suspicious activity reports in a timely manner for transactions that they suspected involved criminal activity or funds derived from illegal activity.

  • December 20, 2024

    SEC Sues Silver Point Over Atty's Receipt Of Nonpublic Info

    The U.S. Securities and Exchange Commission sued investment adviser firm Silver Point Capital LP in Connecticut federal court on Friday, alleging that it failed to establish policies to safeguard material nonpublic information, particularly from a now-deceased former BigLaw attorney.

  • December 20, 2024

    Edward Jones, Others To Return $8.2M To Mutual Fund Clients

    Edward Jones and two firms that oversee mutual funds have agreed to collectively return $8.2 million to customers who were allegedly made to pay excess sales charges and fees, according to a Friday statement from the Financial Industry Regulatory Authority.

  • December 20, 2024

    DOL Sues Over New York BBQ Co.'s $99M Stock Plan Deal

    The U.S. Department of Labor sued Argent Trust Co. and several New York City restaurant operators in federal court, alleging they violated federal benefits law by causing a barbecue company's employee stock ownership plan to pay $99 million for overvalued company stock in a leveraged transaction.

  • December 20, 2024

    Trump Transfers $4B Equity Stake In Media Startup To Trust

    President-elect Donald Trump has transferred control over his estimated $4 billion stake in the company that owns his social media platform to a revocable trust held by his son, according to regulatory flings.

  • December 20, 2024

    Prudential Freed From 401(k) Mismanagement Suit

    A New Jersey federal judge tossed a class action claiming Prudential bogged down its retirement plan with underperforming funds while also funneling money into a proprietary investing tool that benefited the company over employees, ruling the case lacks proof that mismanagement occurred.

Expert Analysis

  • What VC Fund Settlement Means For DEI Grant Programs

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    An unexpected settlement in American Alliance for Equal Rights v. Fearless Fund, based on specific details of an Atlanta venture capital fund's challenged minority grant program, leaves the legal landscape wide open for organizations with similar programs supporting diversity, equity and inclusion to chart a path forward, say attorneys at Moore & Van Allen.

  • Missouri Injunction A Setback For State Anti-ESG Rules

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    A Missouri federal court’s recent order enjoining the state’s anti-ESG rules comes amid actions by state legislatures to revise or invalidate similar legislation imposing disclosure and consent requirements around environmental, social and governance investing, and could be a blueprint for future challenges, say attorneys at Paul Hastings.

  • Navigating A Potpourri Of Possible Transparency Act Pitfalls

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    Despite the Financial Crimes Enforcement Network's continued release of guidance for complying with the Corporate Transparency Act, its interpretation remains in flux, making it important for companies to understand potentially problematic areas of ambiguity in the practical application of the law, say attorneys at Sidley.

  • A Preview Of AI Priorities Under The Next President

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    For the first time in a presidential election, both of the leading candidates and their parties have been vocal about artificial intelligence policy, offering clues on the future of regulation as AI continues to advance and congressional action continues to stall, say attorneys at Mintz.

  • How Companies Are Approaching Insider Trading Policies

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    An analysis of insider trading policies recently disclosed by 49 S&P 500 companies under a new U.S. Securities and Exchange Commission rule reveals that while specific provisions vary from company to company, certain common themes are emerging, say attorneys at Gibson Dunn.

  • How Methods Are Evolving In Textualist Interpretations

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    Textualists at the U.S. Supreme Court are increasingly considering new methods such as corpus linguistics and surveys to evaluate what a statute's text communicates to an ordinary reader, while lower courts even mull large language models like ChatGPT as supplements, says Kevin Tobia at Georgetown Law.

  • Opinion

    Congress Must Do More To Bolster ERISA Protections

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    As the Employee Retirement Income Security Act turns 50 this month, we applaud Congress for championing a statute that protects worker and retiree rights, but further action is needed to ban arbitration clauses in plan provisions and codify regulations imperiled by the U.S. Supreme Court’s Chevron ruling, say Michelle Yau and Eleanor Frisch at Cohen Milstein.

  • Increased Scrutiny Raises Int'l Real Estate Transaction Risks

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    Recently proposed regulations expanding the Committee on Foreign Investment in the United States' oversight, a White House divestment order and state-level legislative efforts signal increasing scrutiny of real estate transactions that may trigger national security concerns, say Luciano Racco and Aleksis Fernández Caballero at Foley Hoag.

  • How Fund Advisers Can Limit Election Year Pay-To-Play Risks

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    With Minnesota Gov. Tim Walz now the Democratic candidate for vice president, politically active investment advisers should take practical steps to avoid triggering strict pay-to-play rules that can lead to fund managers facing mutli-year timeouts from working with public funds after contributing to sitting officials, say attorneys at Dechert.

  • Why Attorneys Should Consider Community Leadership Roles

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    Volunteering and nonprofit board service are complementary to, but distinct from, traditional pro bono work, and taking on these community leadership roles can produce dividends for lawyers, their firms and the nonprofit causes they support, says Katie Beacham at Kilpatrick.

  • 9 Liability Management Tips As Debt Maturity Cliff Looms

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    As the debt maturity cliff swiftly approaches in this challenging environment, attorneys at Winston & Strawn highlight the top considerations for boards of directors and finance professionals to think about when structuring and executing liability management transactions, including reviewing capital structure, evaluating debt covenants, and more.

  • Firms Must Offer A Trifecta Of Services In Post-Chevron World

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    After the U.S. Supreme Court’s Loper Bright Enterprises v. Raimondo decision overturning Chevron deference, law firms will need to integrate litigation, lobbying and communications functions to keep up with the ramifications of the ruling and provide adequate counsel quickly, says Neil Hare at Dentons.

  • 5 Ways Life Sciences Cos. Can Manage Insider Trading Risk

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    In light of two high-profile insider trading jury decisions against life sciences executives this year, public companies in the sector should revise their policies to account for regulators' new and more expansive theories of liability, says Amy Walsh at Orrick.

  • 5 Tips To Succeed In A Master Of Laws Program And Beyond

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    As lawyers and recent law school graduates begin their Master of Laws coursework across the country, they should keep a few pointers in mind to get the most out of their programs and kick-start successful careers in their practice areas, says Kelley Miller at Reed Smith.

  • Series

    After Chevron: SEC Climate And ESG Rules Likely Doomed

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    Under the U.S. Supreme Court's recent decision in Loper Bright, without agency deference, the U.S. Securities and Exchange Commission's climate disclosure and environmental, social and governance rules would likely be found lacking in statutory support and vacated by the courts, says Justin Chretien at Carlton Fields.

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