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The New Pay-for-Performance Proposal – A Misstep by the SEC

The SEC last week finally proposed rules mandated by Dodd-Frank providing for disclosure of the relationship between compensation actually paid to executives and company financial performance. While it is important to...more

New SEC Proposed Rules on Pay versus Performance

As early as the 2016 proxy season, most U.S. public companies may need to include new disclosures, and should start thinking about them now. On April 29, 2015, the Securities and Exchange Commission (the SEC) proposed...more

SEC Proposed Hedging Transaction Disclosure Rules

Much attention has been given to recent U.S. Securities and Exchange Commission (SEC) proposed rulemaking under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank Act) that would require disclosure of...more

Locke Lord QuickStudy: Public Companies Face “Pay for Performance” Disclosure Based on Total Shareholder Return

Public company proxy statements would have to disclose the total compensation “actually paid” to their principal executive officers over the previous five years, then describe the relationship between that compensation and...more

Finally! SEC Proposes New Pay for Performance Disclosure Regulations

On April 29, 2015, in accordance with Section 953(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Reform Act”), the Securities and Exchange Commission (the “SEC”) issued a press release and published...more

SEC Proposes New Pay-for-Performance Rules

On April 29, the Securities and Exchange Commission proposed new rules to require annual disclosure in proxy and information statements under the Securities Exchange Act of 1934 regarding the relationship between executive...more

Proxy Access — Week of April 26

During the week of April 26, 2015, 8-Ks were filed that disclosed two shareholder sponsored proxy access proposals passed and two failed. All required three percent ownership for three years and all were opposed by the...more

Blog: With Two Dissents, SEC Proposes Pay-For-Performance Disclosure Rules

Wednesday, by a three to two margin, the SEC voted to propose rules requiring companies to disclose executive pay for performance. The proposal comes five years after passage of Dodd-Frank, which imposed the obligation on the...more

Closely Watched Weist SOX Whistleblower Case Dismissed

The Eastern District of Pennsylvania recently ruled that an employee’s SOX whistleblower retaliation claim failed as a matter of law because no causal connection existed between his complaints and termination and the employer...more

First Circuit Reviews Top Hat Plan Benefits Denial for Abuse of Discretion

The First Circuit recently applied an abuse of discretion standard of review to a claim for top hat plan benefits. Plaintiff Robert Niebauer, a former executive of Crane, brought a claim for executive severance plan benefits...more

Saudi Arabia Update April 2015

New labor courts will start operating in October 2016. Responsibility over the Labor Courts will soon be transferred from the Ministry of Justice to the Ministry of Labor in Muharram 1438H., corresponding to October...more

CFPB, Virginia Attorney General Target Payday and Auto Title Lenders

Section 1031 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd Frank”) authorizes the Consumer Financial Protection Bureau (“CFPB”) to issue rules to prevent unfair, deceptive, or abusive acts or...more

Proxy Access Week of April 19

During the week of April 19, 2015, 8-Ks were filed that disclosed two proxy access proposals passed and four failed. All required three percent ownership for three years and all were opposed by the company. Details are as...more

Structure your start-up for fundraising success - Part Two: Organize your corporate records

If you’ve determined that your new venture is going to require outside investment, there are a number of things you can do to make your company more attractive to investors....more

Governance & Securities Law Focus: Asia Edition - April 2015

In this issue: - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - Executive Compensation & Employee Benefits Developments - Adoption of...more

Hiring Without Employment Law Headaches: Five Tips for Employers

On Friday, I had the opportunity to speak to the Human Resource Association of Greater New Haven. My sincere thanks to them for the invitation. The group asked me to talk about various legal traps employers face in the...more

U.S. Department of Labor Proposes New Fiduciary Standard

Last week, the U.S. Department of Labor (DOL) issued its highly anticipated, re-proposed regulation addressing when a person providing investment advice with respect to an employee benefit plan or individual retirement...more

Bridging the Week - April 2015 #3

CFTC Commissioner Bowen Argues for User Fees During House Subcommittee Hearing; Commissioner Wetjen Calls for Bankruptcy Law Amendments to Permit Individual Segregation of Customer Funds - Commodity Futures Trading...more

Confidentiality Agreements of Federal Contractor Employees – Changes To The Federal Acquisition Regulations Are Coming Soon

Confidentiality agreements for employees of federal contractors are increasingly coming under scrutiny by federal agencies. In late 2014, as part of the Consolidated and Further Continuing Appropriations Act (the “Act”),...more

Corporate Investigations & White Collar Defense - April 2015

It’s Stifling in Here! SEC Rules That Companies Can’t Put Restrictive Language in Confidentiality Agreements That Could Potentially Stifle Whistleblowers - Why it matters: On April 1, 2015, the SEC announced its...more

Governance & Securities Law Focus: Europe Edition, April 2015

In this issue: - Adoption of Action Plan on Company Law and Corporate Governance - European Commission Green Paper: Building a Capital Markets Union - European Commission Publishes Consultation Paper on...more

UK Pensions: End Of Contracting-Out Issues For Employers And Trustees - April 2015

The immediate impact, for employers currently sponsoring a contracted-out DB scheme, is an increase in payroll costs because the reduced rate of national insurance contributions (NICs) which applies to workers who are in...more

New York City Council Passes Ground-Breaking Legislation Limiting the Use of Credit Checks in Employment

On April 16, 2015, the New York City Council, by a vote of 47-3, approved legislation that would prohibit the use of credit checks in employment decisions except in limited circumstances. The bill, which is expected to be...more

Labor Department Proposes Fiduciary Conflict of Interest Rules — Again

On April 14, 2015, the U.S. Department of Labor (DOL) reissued the long-awaited re-proposal of its regulation expanding the definition of "fiduciary" under the Employee Retirement Security Act of 1974, as amended (ERISA), and...more

Five Key Issues Confronting Financial Services Industry Employers

Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

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