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Coronavirus

RCW’s complete coverage of Covid-19 or the coronavirus

Jay Clayton
We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...
The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...
Due to the intermittent inaccessibility of physical certificates at DTC as a result of ongoing concerns related to the effects of COVID–19, sell orders for ...
The SEC’s recent risk alert on COVID-19 challenges private fund advisers to come up with “creative” solutions to a new, and world-historic, phenomenon, experts tell ...
Here's another P&P for returning to work during the pandemic
Another adviser’s return-to-work P&Ps note restrictions on unnecessary travel, virus testing when traveling staff return, frequent wiping down of “door handles, counters, kitchen tables,” staggered breaks ...
Employees who use mass transit will not want to use it to commute and may have difficulty with transportation for a number of reasons
It has become possible that some type of pandemic like SARS or Ebola would require employees to abandon one or more of our offices and ...
While we remain in a remote work posture, you may find it necessary to visit the office for a specific purpose
In late July, Viola Ventures invested in a $14.15 million Series B funding of Berlin-based Candis, which provides automated financial software for small and mid-sized ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...
The economic impacts of COVID-19 have underscored the obstacles that many underrepresented entrepreneurs have historically faced in raising capital
Of the minority that did report the virus impacted them, many indicated they had to enhance their BCP, ran into some internal operational issues or ...
In connection with an industry-wide response to the coronavirus disease 2019 pandemic, temporary no-action relief was granted pursuant to Letter 20-16 for persons failing to ...
We will continue to closely monitor the capital markets—and take action, including providing further regulatory relief and guidance, as appropriate
Given the idiosyncratic nature of the health and economic effects and consequences of COVID-19, we believe that analogies to the role of rating agencies in ...
The SEC also promised the Commission will issue a public announcement about the relief due to expire Dec. 31 at least two weeks before the ...
Four new or modified FAQs restate the Commission's regulatory relief for advisers due to the coronavirus
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