Labor & Employment Securities

Read need-to-know updates, commentary, and analysis on Labor & Employment issues written by leading professionals.
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2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds

Proskauer has released the 2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds. The 88-page report is a summary of significant legal changes and developments in the private funds space...more

Four Things Companies Should Know About the SEC’s 2015 Whistleblower Report

The SEC recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program. Released on November 16, the 2015 annual report also provided important guidance to companies on the...more

SEC Reports on Dodd-Frank Whistleblower Program

On November 16, the SEC’s Office of the Whistleblower (OWB) issued its 2015 annual report to Congress on its Whistleblower Program established pursuant to Dodd-Frank. According to the report, in Fiscal Year 2015, the OWB...more

Your daily dose of financial news The Brief – 11.25.15

A groundbreaking move by Calpers—California’s state pension fund—to disclose how much money it’s made from and paid to private equity funds ($24.2 billion and $3.4 billion, respectively, since 1990) may help pave the way for...more

Blog: Will The SEC Finally Provide Some Relief From The Nearly Incomprehensible Proxy Statement Requirement For A New Plan...

Keith Higgins, Director of Corp Fin, hinted that he might be giving us a welcome gift in the future: a revision of Item 10 of Schedule 14A, the proxy statement – in my view, a component of the disclosure rules that has too...more

IRS Issues Guidance on the Applicability of Section 162(m) to CFO Compensation

Summary: The IRS recently informally revised its guidance regarding which officers of public companies must be considered when determining the compensation deduction limitation of Section 162(m) of the Internal Revenue Code...more

For Whom The Whistle Blows: SEC Whistleblower Office Issues Its 2015 Annual Report

The SEC released its Fiscal Year 2015 Annual Report (the “Report”) to Congress on the Dodd-Frank Whistleblower Program on November 16, 2015. The Report analyzes the tips received over the last twelve months by the SEC’s...more

ISS Ignores Contrary Studies In Adopting Overboarding Policy Change

ISS released its 2016 Benchmark Policy Recommendations last Friday. I had previously criticized ISS for its proposal to change its recommendation on withholding votes with respect to directors who sit on too many boards...more

The Carrot or the Stick? New Ways to Explain Why Compliance Builds a Stronger Bottom Line

There is a well-known truth that most business leaders get: bad ethics are bad for business. The reasons are as obvious as last week’s headlines: fines, investigations, remediations, and the like can take a huge toll...more

SEC Publishes 2015 Whistleblower Report

The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program. The report indicates the SEC received 3,923 tips in fiscal year 2015, compared to 3,620 tips in fiscal year 2014. From fiscal year 2012, the...more

New SEC Report Sheds Light on Key Trends in Whistleblower Activity and Anti-Retaliation Law - The SEC’s Office of the...

What you need to know: The SEC recently released its 2015 annual report cataloguing the year’s most important trends in whistleblower activity and anti-retaliation law. The report provides a useful look at how...more

SEC Sees Surges in Tips and Claims in Dodd-Frank Whistleblower Program

The SEC’s fiscal year ended on September 30, 2015, and the 2015 Annual Report on the Dodd-Frank Whistleblower Program was issued Monday. According to the report, the SEC saw another surge in whistleblower tips and paid out...more

Highlights of SEC’s 2015 Annual Whistleblower Report

On November 16, 2015, the Securities and Exchange Commission’s Office of the Whistleblower (“OWB”) released its fifth Annual Report on the Dodd-Frank Whistleblower Program to Congress, which details information on OWB’s...more

SEC Report Indicates Whistleblower Program Going Strong

Compliance professionals and attorneys received confirmation on Tuesday of what many have long expected: the U.S. Securities and Exchange Commission whistleblower program is steadily growing in scope and impact, and the SEC...more

Proxy Access Update—Preparing for the 2016 Proxy Season

Proxy access predominated corporate governance issues for the 2015 proxy season, with over 100 proposals submitted on the topic, compared to 18 in 2014. Shareholder proponents achieved significant success in 2015, with an...more

Deaf Ears: The Surprising Truth About Employee Whistleblowers

In some ways, whistleblowers represent the ultimate fear within a company: an employee goes to a watchdog to report something unethical, illegal, or otherwise improper, and a legal and organizational battle begins that sucks...more

Your daily dose of financial news The Brief – 11.17.15

Dealbook’s Andrew Ross Sorkin offers more perspective on the economic cost of terrorism, suggesting—based on a disturbingly high data set of recent examples—that market volatility in the days following a major event isn’t the...more

Kansas Court Dismisses Dodd-Frank Whistleblower Claim for Failure to Complain of Securities Violations

On November 5, 2015, the District of Kansas dismissed a whistleblower retaliation claim under Dodd-Frank, ruling that the statute’s anti-retaliation provision only protects individuals who report securities violations.  Azim...more

Department of Labor Clarifies ERISA Fiduciary Requirements With Respect to Economically Targeted Investments and Environmental,...

Last month, the Department of Labor (the “Department”) issued an Interpretive Bulletin 2015-011 (the “Bulletin”) clarifying the extent to which the Employee Retirement Income Security Act of 1974 (“ERISA”) permits fiduciaries...more

CME Group Issues Notice Related to Employee Supervision

On November 2, CME Group issued Market Regulation Advisory Notice RA1517-5 (Notice) related to the supervision of employees and agents conducting business on the CME Group Exchanges. The Notice reminds Exchange members that...more

EB-5 Legislative Update

Earlier this year, bipartisan legislation was introduced that would permanently authorize the EB-5 Immigrant Investor Pilot Program. Rather than pass the legislation, the U.S. House of Representatives passed a Continuing...more

What 19 Eminent Law Professors Would Have You Believe

UCLA Law School Professor Stephen Bainbridge yesterday highlighted an amicus curiae brief filed recently by 19 law professors in Freidrichs v. California Teachers Ass’n. That case, which is now pending before the U.S....more

Recaps from Proskauer’s 20th Annual Trick or Treat Tax Exempt Seminar

Proskauer’s 20th Annual Trick or Treat Seminar was held on Friday, October 30. The Seminar discussed: - Non-Profit Revitalization Act of 2013: Recent Developments and Outstanding Issues - Recent Developments in...more

Securities and Corporate Governance Litigation Quarterly

Welcome to the fifth issue of Securities and Corporate Governance Litigation Quarterly, Seyfarth’s quarterly publication of the Securities & Financial Litigation Group focusing on decisions or other items of interest for...more

SEC Pays Whistleblower Bounty Award Exceeding $325,000

On November 4, 2015, the SEC announced that it would pay a former investment firm employee a whistleblower bounty award totaling more than $325,000. Notably, the SEC’s Order indicated that the award was decreased “because...more

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