Tag: Regulations

SPAC Enforcement Risks Increase with Enhanced SEC Scrutiny

What happened In a recent client alert, we discussed the dramatic rise in offerings of special purpose acquisition companies (SPACs) and some of the attendant litigation and enforcement risks. A raft of recent public statements and actions by Securities and Exchange Commission (SEC) staff reflect the agency’s enhanced scrutiny of […]

SEC Brings Rare Charges in Alleged Regulation Fair Disclosure Violation

What happened The SEC recently brought charges against AT&T and three mid-level executives for selectively providing information to Wall Street analysts in alleged violation of Regulation Fair Disclosure (Reg FD). According to the complaint filed in the Southern District of New York, AT&T learned in March 2016 that a “steeper-than-expected” […]

Sanctions: what tech companies should consider

While sanctions restrict trade and dealings with specified individuals, entities and states, export controls restrict the distribution of specified products & services, namely military goods and items that can have a dual civilian and military use. In the past, compliance with sanction and export regimes was largely seen to be […]