ProfessionalsSofia D. Martos
Sofia D. Martos
Associate
Tel: +44-20-7367-1658
Fax: +44-20-7367-1650
emailsmartos@paulweiss.com
Alder Castle, 10 Noble Street
London,
United Kingdom
EC2V 7JU
Fax: +44-20-7367-1650
- Practices
- Corporate
- Capital Markets & Securities
- Practices:
- Corporate
- Capital Markets & Securities
Related Resources
Introduction to ESG
- Jul 09, 2020
- Publications
Introduction to ESG
Interest on the part of investors and other corporate stakeholders in environmental, social and governance (“ESG”) matters has surged in recent years, and the current economic, public health and social justice crises have only…
U.S. Department of Labor Issues Proposed Restrictions on ESG Investing
- Jun 29, 2020
- Publications
U.S. Department of Labor Issues Proposed Restrictions on ESG Investing
The Department of Labor recently proposed a rule that would establish that an ERISA fiduciary must evaluate and make investments on behalf of plans subject to ERISA solely on the basis of so-called “pecuniary factors,” and may not…
OFAC Enforcement Action against BIOMIN America, Inc. Highlights the Consequences of Failing to Seek and Implement Appropriate Compliance Advice
- May 14, 2020
- Publications
OFAC Enforcement Action against BIOMIN America, Inc. Highlights the Consequences of Failing to Seek and Implement Appropriate Compliance Advice
On May 6, 2020, the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) announced a $257,862 settlement agreement with BIOMIN America, Inc. (“BIOMIN America”), an animal nutrition company based in Overland Park,…
Joint Statement by the FCA, FRC and PRA Regarding Capital Markets Reporting in Light of Recent COVID-19 Developments
- Mar 30, 2020
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Joint Statement by the FCA, FRC and PRA Regarding Capital Markets Reporting in Light of Recent COVID-19 Developments
On March 26, UK regulatory bodies granted temporary relief and issued guidance to listed companies and auditors as a result of the increasing challenges posed by COVID-19.
SEC Reporting Companies: Considering the Impact of the Coronavirus on Public Disclosure and Other Obligations
- Mar 04, 2020
- Publications
SEC Reporting Companies: Considering the Impact of the Coronavirus on Public Disclosure and Other Obligations
As the coronavirus (COVID-19) continues to spread, SEC reporting companies and their boards need to consider the impacts of the outbreak not just from business continuity and risk management perspectives, but also on their public…
Wells Fargo Reaches Resolutions with DOJ and SEC for $3 Billion, Agrees to a Deferred Prosecution Agreement
- Feb 24, 2020
- Publications
Wells Fargo Reaches Resolutions with DOJ and SEC for $3 Billion, Agrees to a Deferred Prosecution Agreement
On February 21, 2020, Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A. (collectively, “Wells Fargo”), entered into resolutions with the Department of Justice (“DOJ”) and the Securities and Exchange Commission (the…
SEC Issues a Statement on Coronavirus Reporting Considerations and Potential Relief
- Feb 20, 2020
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SEC Issues a Statement on Coronavirus Reporting Considerations and Potential Relief
The Securities and Exchange Commission recently addressed financial reporting considerations and potential SEC relief in light of the effects of the novel coronavirus. These effects may be important to SEC-reporting companies that…
SEC Proposes Amendments to MD&A Requirements and Provides Guidance on use of Metrics in the MD&A
- Feb 03, 2020
- Publications
SEC Proposes Amendments to MD&A Requirements and Provides Guidance on use of Metrics in the MD&A
On January 30, the U.S. Securities and Exchange Commission (the “SEC”) published proposed amendments to modernize, simplify and enhance certain financial disclosure requirements set forth in Regulation S-K.
Economic Sanctions and Anti-Money Laundering Developments: 2019 Year in Review
- Jan 31, 2020
- Publications
Economic Sanctions and Anti-Money Laundering Developments: 2019 Year in Review
This memorandum surveys economic sanctions and anti-money laundering (“AML”) developments and trends in 2019 and provides an outlook for the year ahead.
OCC Takes Unprecedented Enforcement Actions Against Eight Former Wells Fargo Executives
- Jan 28, 2020
- Publications
OCC Takes Unprecedented Enforcement Actions Against Eight Former Wells Fargo Executives
As the latest chapter in the aftermath of the Wells Fargo fake accounts scandal, the OCC announced enforcement actions against eight former Wells Fargo executives for their roles in the bank’s “systemic sales practices misconduct.”
SEC Staff Issues Statement Addressed to Audit Committees
- Jan 06, 2020
- Publications
SEC Staff Issues Statement Addressed to Audit Committees
On December 30, 2019, the SEC Chairman, Jay Clayton, the SEC’s Chief Accountant, Sagar Teotia, and the Director of the SEC’s Division of Corporation Finance, William Hinman, issued a joint statement (the “Statement”) (available here)…
Takeaways from the AICPA’s 2019 Conference on Current SEC and PCAOB Developments
- Jan 06, 2020
- Publications
Takeaways from the AICPA’s 2019 Conference on Current SEC and PCAOB Developments
The annual AICPA Conference on Current SEC and PCAOB Developments has become a highly anticipated source of information on the latest issues and trends in financial reporting, accounting and auditing.
Economic Sanctions and Anti-Money Laundering Developments: 2018 Year in Review
- Feb 05, 2019
- Publications
Economic Sanctions and Anti-Money Laundering Developments: 2018 Year in Review
This memo surveys economic sanctions and AML developments and trends in 2018 and provides an outlook for the year ahead. We also provide some thoughts concerning compliance and risk mitigation in this challenging environment.
Takeaways from the AICPA’s 2018 Conference on Current SEC and PCAOB Developments
- Jan 08, 2019
- Publications
Takeaways from the AICPA’s 2018 Conference on Current SEC and PCAOB Developments
In mid-December 2018, speakers and panelists representing regulatory and standard-setting bodies as well as auditors, registrants, securities counsel and other industry experts gathered in Washington D.C. for the 2018 AICPA Conference …
The SEC Is Open for Business: Takeaways from the AICPA’s 2017 Conference on Current PCAOB and SEC Developments
- Dec 08, 2017
- Publications
The SEC Is Open for Business: Takeaways from the AICPA’s 2017 Conference on Current PCAOB and SEC Developments
One of the key messages conveyed by the Staff (the “Staff”) of the SEC’s Division of Corporation Finance (the “Division”) at the annual gathering in Washington, D.C. for the AICPA’s 2017 Conference on Current PCAOB and SEC…
FCA Adopts Changes to Rules Governing Availability of Information for IPOs
- Nov 13, 2017
- Publications
FCA Adopts Changes to Rules Governing Availability of Information for IPOs
The UK Financial Conduct Authority (the “FCA”) recently published a policy statement (the “Policy Statement”) that addresses the availability of information as part of the initial public offering (“IPO”) process in the United Kingdom.
The FCA Adopts a Number of Technical and Structural Changes to the UK Listing Regime
- Nov 08, 2017
- Publications
The FCA Adopts a Number of Technical and Structural Changes to the UK Listing Regime
On October 26, 2017, the UK Financial Conduct Authority (the “FCA”) published a policy statement (the “Policy Statement”) that introduces a number of changes to the UK Listing Rules (“LRs”) and related guidance.
MiFID II Unbundling Rules: Implications for Asset Managers and Broker-Dealers in the United States
- Nov 01, 2017
- Publications
MiFID II Unbundling Rules: Implications for Asset Managers and Broker-Dealers in the United States
On January 3, 2018, the European Union’s revised Markets in Financial Instruments Directive (“MiFID II Directive”) and the new Markets in Financial Instruments Regulation (“MiFIR,” and together with the MiFID II Directive, “MiFID II”) …
Mark Bergman and Sofia Martos Co-Author Article in Securities Law Daily
- Oct 05, 2017
- Publications
Mark Bergman and Sofia Martos Co-Author Article in Securities Law Daily
London-based partner Mark Bergman and associate Sofia Martos published an article in the October 5 edition of Bloomberg BNA Securities Law Daily.
President and Congress Eliminate SEC Resource Extraction Rule
- Feb 15, 2017
- Publications
President and Congress Eliminate SEC Resource Extraction Rule
On February 14, President Trump signed a joint resolution of Congress passed under the Congressional Review Act eliminating an SEC rule requiring resource extraction issuers to disclose payments made to the U.S. or foreign…
President Signs Executive Order on Core Principles for Regulating the U.S. Financial System
- Feb 09, 2017
- Publications
President Signs Executive Order on Core Principles for Regulating the U.S. Financial System
On February 3, President Donald Trump signed an executive order setting forth "Core Principles" intended to guide the regulation of the U.S. financial system. Although not specifically mentioned, revisions to the Dodd-Frank Act are…