Securities Civil Rights Business Organization

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In Case You Missed It - Interesting Items for Corporate Counsel - April 2015

We knew someone would do this for us if we just waited long enough. A summary of early trends in proxy access responses suggests most are including the shareholder proposal and recommending a no vote. See here. Only a single...more

How to Conduct Internal Investigations Outside the United States

Think of a U.S.-headquartered multinational when it receives an allegation of serious misconduct at one of its overseas operations. Maybe the company whistleblower hotline just got a tip that a secretary in the Buenos Aires...more

It’s Not Boilerplate Anymore: SEC Order Serves as Reminder to Carefully Consider Language Used in Employee Confidentiality...

The Securities and Exchange Commission instituted cease and desist proceedings against KBR, Inc. for the purpose of entering an agreed Cease and Desist Order which is likely to affect the drafting of all confidentiality...more

SEC Brings First Enforcement Action Targeting Language Contained in Confidentiality Agreements

As we reported in a previous post, “SEC Investigating Companies’ Employment Contracts That Restrict Whistleblowing,” the U.S. Securities and Exchange Commission (SEC) has been vocal about its concerns regarding the effects of...more

SEC Sends Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing

US public companies and SEC regulated entities should re-examine their forms and policies. On April 1, 2015, the US Securities and Exchange Commission filed its first whistleblower protection case involving...more

The Sky Was Falling Legislative Update February 2015

This week in Raleigh the sky was falling! – well it was snowing! The news in Raleigh was dominated by snow and ice and skeleton sessions and empty calendars. However there were a few items of interest: Fee...more

SEC: Whistleblower Protections Extend To Those Who Report Internally

A critical component of the SEC’s whistleblower program is the anti-retaliatory provisions of Exchange Act Section 21F, added to the statute by the Dodd-Frank Act. To implement that provision the Commission promulgated two...more

Senators Pass Gender Diversity Resolution – Have They Read Ecclesiazusae?

In late August, the California Senate approved SCR 62 which encourages “equitable and diverse gender representation on corporate boards”. The resolution also urges...more

OSC Proposes Disclosure Requirements Regarding Women on Boards and in Senior Management

On July 30, 2013, the Ontario Securities Commission (OSC), released its proposal to require TSX-listed companies to provide disclosure with respect to women on boards and in senior management as set out in the OSC Staff...more

Navigant Investigations Quarterly 2013 - The Next Compliance Deluge: Understanding Foreign States’ Mandatory Corporate Social...

Corporate Social Responsibility (CSR) has evolved from a “nice idea” or “marketing opportunity” to a true business imperative. Companies are increasingly becoming sophisticated with respect to CSR reporting and are checking...more

9th Circuit Affirms Judgment for Teck Alaska in Title VII Shareholder Preference Suit -Court validates ANCSA shareholder...

In Conitz v. Teck Alaska, a case involving shareholder preferences closely watched by ANCSA corporations and others, the U.S. Court of Appeals for the 9th Circuit issued a brief unpublished decision affirming the district...more

A Question That You May Want To Add To Your Investor Suitability Questionnaire

Issuers typically use investor suitability questionnaires to elicit information from potential investors in order to substantiate exemptions under federal and/or state securities laws. For example, issuers will often ask...more

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