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The Insider’s Guide to Insider Trading

Peak Frameworks

Insider trading , a highly controversial topic in financial ethics and law, involves the trading of a public company's stock by individuals with access to non-public, material information about the company. Contrary to popular belief, not all insider trading is illegal.

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Mandatory buy-ins to be a ‘last resort’ under CSDR refit plans

The TRADE

With regards to the hot topic of settlement efficiency, the new regulation includes the preconditions for applying the highly controversial mandatory buy-ins which will only be introduced as a “measure of last resort”, where the rate of settlement fails in the EU is not improving and is presenting a threat to financial stability.

Insiders

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North America Proxy Voting and Engagement Guidelines

The Harvard Law School Forum

State Street Global Advisors’ Proxy Voting and Engagement Guidelines for North America (United States [“US”] and Canada) address our market-specific approaches to topics including directors and boards, accounting and audit related issues, capital structure, reorganization and mergers, compensation, and other governance-related issues.

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Recap: 2023 Midwest M&A/Private Equity Forum

Focus Investment Banking

Among other topics discussed at the meeting, non-compete agreements are losing their luster, as Delaware courts are invalidating them. Beginning on January 1, 2024 , information on the beneficial owners of companies will be collected by FinCEN, the Treasury Department’s Financial Crimes Enforcement Network.

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New SEC Disclosure Rules for Cybersecurity Incidents and Governance and Key Takeaways

Cleary M&A and Corporate Governance Watch

while serving related purposes, will not effectuate the level of public cybersecurity disclosure needed by investors in public companies.” [2] while serving related purposes, will not effectuate the level of public cybersecurity disclosure needed by investors in public companies.” [2]

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M&A Blog #15 – valuation (tools and data preparation)

Francine Way

I will discuss general tools and credible sources of information that a valuation professional can use for the analysis. Lastly, for the sake of simplification, in this series of valuation posts, I will assume a valuation of a public company. Some of these information sources are free, some require paid subscription to the information.

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11 Lessons We Learned About Protecting Assets and Risks in M&A by Interviewing Joe Prencipe

How2Exit

Asking the right questions can help to ensure that a person gets the information and advice that they need. Additionally, when researching a topic, it is important to ask the right questions to ensure that a person gets accurate information. The SEC has two main rules that must be followed when fundraising from the public.

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