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S&C Memos

S&C Memos

ISS Releases FAQ on U.S. Compensation Policies and the COVID-19 Pandemic: Adjustments to annual incentive programs such as changes to metrics, performance targets or measurement periods or replacement with one-time discretionary payments may be viewed as reasonable responses

Particular scrutiny on above target payouts under modified annual incentive programs and changes to currently in-progress equity or long-term incentive cycles Sullivan & Cromwell LLP - October 21, 2020
SEC Proposes Exemption from Broker-Dealer Registration for “Finders”: Many Conditions Would Attach to the Proposed Exemption, Including a Requirement That Finders Be Natural Persons Sullivan & Cromwell LLP - October 20, 2020
SEC Adopts Final Rule to Update the Regulatory Framework for Fund of Funds Arrangements: Final Rule Establishes Rules-Based Regime to Permit Funds to Acquire Shares of Other Funds in Excess of Limits in Section 12(d)(1) of the Investment Company Act Sullivan & Cromwell LLP - October 19, 2020
New York DFS Calls for Regulation of Social Media Platforms: New York State Department of Financial Services Calls for Regulation of Social Media Platforms in Report on Investigation of Twitter Hack Sullivan & Cromwell LLP - October 15, 2020

Articles

Articles

Jeff Scott Authors Article on SEC Enforcement Trends for The Review of Securities & Commodities Regulation October 5, 2020
Frank Aquila, Melissa Sawyer and June Hu Author Bloomberg Law Article on ESG Issues in Post-Pandemic M&A September 16, 2020
S&C IP Lawyers Author IAM Article on Blockchain and Patent Risk August 21, 2020
Commission to Reimagine the Future of NY State Courts Issues Recommendations for Court Proceedings August 7, 2020