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Your Daily Dose of Financial News

by Robins Kaplan LLP on

We learned pretty early on that VW wasn’t alone in employing emissions-cheating software to get around environmental regs. But until now, it’s borne the brunt of the bad press for its actions. Well, with Fiat Chrysler’s DOJ...more

Will The Fiduciary Rule Live on Even if it is Repealed?

by Burr & Forman on

The Department of Labor fiduciary rule was supposed to be implemented on April 10, 2017. That date was pushed back to June 9 so that it could be reassessed, and possibly modified or even repealed. The rule as it stands...more

Second Circuit: Reclassification of Claim as Equity Interest? Not Unless It Is Duplicative

The Second Circuit affirmed the bankruptcy and district courts’ decisions subordinating claims asserted against the Debtor by holders of restricted stock units. However, while the court agreed with the lower courts that the...more

Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues [Video]

by Thomas Fox on

Employment separation and layoffs can present some unique challenges for the compliance practitioner. Employees can use layoffs to claim that they were retaliated against for a wide variety of complaints, including those for...more

Yes, DOL audits are more terrifying

by Ary Rosenbaum on

I have to see that as after 18 years, there is very little I fear and I fear of retirement plan audits by the Department of Labor (DOL). I’m going to have a larger fear as it’s clear that DOL audits will increase thanks to...more

The New Faces of FCPA Enforcement: The Transition to a Sessions-Clayton Enforcement Regime Is Unlikely to Result in Drastic...

by K&L Gates LLP on

Now that the Trump administration has passed its first 100 days, some additional insights are available with respect to how the administration plans to enforce anti-corruption laws, including the Foreign Corrupt Practices Act...more

Minimize the Risk of External Whistleblower Activity

by Foley & Lardner LLP on

External whistleblower activity can be very costly in the auto industry. As the industry continues to develop, prevention of whistleblower claims will only grow in importance. It’s an issue that can impact every company...more

Global Employee Equity at a glance: Australia

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

Global Employee Equity at a glance: Belgium

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

Global Employee Equity at a glance: Brazil

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

This Week in FCPA- Episode 52, for the week ending May 12, the Firing the Investigators Edition [Video]

by Thomas Fox on

1. What is the real risk in a FCPA enforcement action? See Mike Volkov’s post in Corruption, Crime and Compliance. 2. FIFA fires its lead internal investigators for doing their job investigating. See Tom’s article in...more

Day 10 Of One Month to Better Compliance through HR-Sales Incentives and Compliance [Video]

by Thomas Fox on

In the Department of Justice’s Evaluation of Corporate Compliance Programs, Prong 8 Incentive and Disciplinary Measures it states: Incentive System –How has the company considered the potential negative compliance...more

Plaintiffs’ Bar Leveraging Increased SEC Scrutiny of Nondisclosure and Other Agreements with Employees

by Alston & Bird on

As we have discussed in previous advisories, over the past two years the Securities and Exchange Commission (SEC) Office of the Whistleblower has applied increased scrutiny to various forms of employment agreements that the...more

ERISA Fiduciary Standards Will Apply to IRAs Starting in June

by Hinshaw & Culbertson LLP on

On April 4, 2017 the U.S. Department of Labor issued an order effective April 9, 2017, stating that implementation of the so-called investor Fiduciary Rule applicable to Individual Retirement Accounts will go into effect June...more

Global Employee Equity at a glance: definitions

by White & Case LLP on

Welcome to the definitions page of our Global Employee Equity at a glance series. Home Member State — The Member State of the European Union ("EU") ("Member State") with whose regulatory authority the Issuer is required...more

Global Employee Equity at a glance: China

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

Global Employee Equity at a glance: Canada

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

Day 8 of One Month to Better Compliance Through HR-Using Compensation to Operationalize Compliance [Video]

by Thomas Fox on

One of the areas that many companies have not paid as much attention to in their Foreign Corrupt Practices Act (FCPA) anti-corruption compliance programs is compensation. However the Department of Justice (DOJ) and Securities...more

Unfair and Unbalanced-Episode 17 [Video]

by Thomas Fox on

• Measuring the effectiveness of your compliance program three ways; • Why Roy thinks the CO shouldn’t chair the compliance committee – but maybe the general counsel should; • Who I think should chair the compliance...more

What to Watch for From the New SEC Chairman

Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. As the new Chairman takes office, here are a few things we’re keeping an eye on...more

Day 7 Of One Month To Better Compliance Through HR - Six Principles For Compliance Incentives [Video]

by Thomas Fox on

In metrics laid out by former Assistant Attorney General Leslie R. Caldwell, she spoke about the need for compliance program incentives. She posed it with the following question, “Are there mechanisms to enforce compliance...more

SEC Continues to Fine Companies that Discourage Whistleblowers

by Saul Ewing LLP on

The SEC recently slapped two companies with sizeable fines for allegedly impeding potential whistleblowers from communicating with the agency in violation of Rule 21F-17. These fines, coupled with the SEC’s recent enforcement...more

Global Employee Equity at a glance: Germany

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

Global Employee Equity at a glance: France

by White & Case LLP on

Stock Option Plans: Employment - Labor Concerns - There is a risk of employees claiming that they are entitled to compensation for loss of rights under the Plan where the Plan is amended or discontinued or where...more

California Employment Law Notes - May 2017

Ruth Featherstone alleged that her former employer (SCPMG) discriminated against her based on a "temporary disability" that was caused by an adverse drug reaction, which resulted in an "altered mental state." During this...more

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