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The Securities and Exchange Commission (SEC) has underscored the critical importance of Marketing Rule compliance through a series of recent enforcement actions and risk alerts. This article delves into the challenges that investment advisers must navigate when marketing their services. It also explores how legal counsel and compliance consultants can effectively support their clients in adhering to both the explicit requirements and nuanced aspects of the Marketing Rule.
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The Supreme Court held that expert testimony in a criminal case, as to whether "most people" similar to the defendant have a particular mental state, does not run afoul of the Federal Rule of Evidence's prohibition against expert opinion evidence about whether a criminal defendant had or lacked the mental state required for conviction. Particularly in white-collar cases, where the defendant's intent is often the central disputed issue, the implications of Diaz may be far-reaching.
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While AI presents valuable opportunities, the excitement around it can sometimes overshadow the need for proper data management and interpretation. Here's a balanced look at how AI can be used to drive efficiency and growth within your firm, along with some key considerations.
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How do you determine if ongoing royalty obligations that extend beyond the life of underlying patent protection, even if agreed to by the contracting parties, are enforceable? A recent decision by the U.S. Court of Appeals for the Third Circuit shows what types of license arrangements pass the test.
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The adoption of the DMCA-style notice-and-takedown system is promising. But vocal artists will likely need greater protections on the improper or unauthorized use of their voice, and stronger regulations requiring the disclosure of any use of AI in advertising, promotions or other digital or audio content placed on the Internet.
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The court reasoned that the landlord's affidavit, together with the exhibits established prima facie proof that the tenant had been illegally using the premises and had acquiesced thereto.
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Where it applies, Subchapter V has been a great success. But, much of that success was due to a temporary change to the law that allowed more companies to qualify for Subchapter V treatment. That change has now expired, taking with it the only viable avenue for many businesses to reorganize.
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The self-service buyer is a relatively new concept in B2B professional services. These buyers prefer to gather information, research, and make decisions independently before ever engaging with a service provider. This shift is revolutionary in an industry like legal services, where trust and personal relationships have traditionally driven business development.
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While the focus is on the electoral horse race, what people should be focused on is the next presidential administration's policies, and especially those policies respecting the administrative state.
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A recent Pennsylvania Superior Court opinion held that a commercial tenant was evicted from the leased premises rather than abandoning it and that, accordingly, the landlord could only recover damages for unpaid rent through the date when the landlord recovered possession of the leased premises, denying the landlord's claim for additional rent for the remainder of the lease term.