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Private Company Employee Stock Sales Highlight Hidden Dangers of Compliance Failures

We noted with interest the latest moves by some Bay Area tech giants to permit their employees to sell restricted stock to help them realize the stock value as part of their compensation: See New York Times reporting here. ...more

Restructuring Liquidation Preferences

Job candidates may choose to work for a startup to help build something new, to work in an environment that fosters and rewards creativity, or to get the thrill of climbing aboard a “rocket ship.” New employees rarely, if...more

Equity compensation trend: extending the time to exercise vested stock options

A number of high-profile technology companies recently adjusted their equity compensation programs in a manner they hope will help attract employee talent by providing an extended period to exercise vested stock options after...more

Gender pay gap – a new frontier?

Stockholder proposals regarding gender pay equality have been proposed at several large companies during this year’s proxy season, particularly among technology companies....more

Recent Developments in Cybersecurity: The SEC is Preparing Cases against Firms for Lack of Cybersecurity Preparedness and Phishing...

SEC Enforcement - Andrew Ceresney, head of the SEC’s Division of Enforcement confirmed during a panel discussion at the Investment Company Institute’s Mutual Funds and Investment Management Conference in Orlando, Fla.,...more

In Case You Missed It: Launch Links - March 2016 #4

Some interesting links we found across the web this week: - How The Fiduciary Rule Will Harm Fintech And Startups - The Department of Labor may not be the first federal agency on an early-stage startup founder’s...more

BakerHostetler 2015 Year-End Review of Class Actions

The BakerHostetler 2015 Class Action Year-End Review offers a summary of some of the key developments in class-action litigation during the past year. The 2015 Year-End Review is a joint project of the firm’s Class Action...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

Preview of NAVEX Global’s 2015 Ethics and Compliance Virtual Conference

As 2015 draws to a close (where did the time go?), the 2016 planning season is in full swing. You likely already have an idea of initiatives you’ll want to tackle, but taking your ethics and compliance program to the next...more

That is SO last week - August 2015 #2

Pay was the big deal last week. A divided Securities and Exchange Commission voted to approve the CEO Pay Ratio Rule. The new rule requires publicly traded companies to disclose the ratio of their chief executive officer’s...more

2015 Mid-Year Securities Litigation and Enforcement Highlights

Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

Changing the Status Quo with Extended Option Programs

As technology companies find themselves pushing back IPO timelines and staying private for longer periods of time, they continue to aggressively compete for talent, often against public companies like Google and Facebook. ...more

Immigration Corner: Scams Abound, Getting Acquainted with the Business Visitor, and CBP Eases Your Next U.S. Entry

New Initiatives = New Targets for Scams - Unfortunately, where there is uncertainty, there are those who will use scams to target those individuals looking for clarity. On November 20, 2014, the President announced a...more

2 New Cases Temper Post-Halliburton Expectations

In June of this year, the U.S. Supreme Court ruled that a defendant can rebut the presumption of reliance at the class certification stage of a securities fraud class action by showing that the alleged misstatement did not...more

HEAL Advisory: Whistleblowers Rewarded Again by SEC and the Judiciary

On August 29, 2014, two whistleblower developments of particular interest to health care and life science entities emerged from the Securities and Exchange Commission ("SEC") and the Eighth Circuit Court of Appeals,...more

Show Me The Money – Employee Compensation To Prevent Bribery And Corruption

The GlaxoSmithKline PLC (GSK) matter continues to resonate across the compliance world. ...more

Australia: Life Sciences Boardroom Lunch Series - A Summary

Over the past 10 months, Grant Thornton and DLA Piper have launched a successful life sciences boardroom lunch series. Events have been held in Melbourne and Perth, and Sydney is about to be added to the roster. This...more

Corporate Law Report: Managing Cyber Risks, BYOD, Obama's NLRB Crisis, Iran Sanctions, and More [Video]

Our latest Corporate Law Report looks at: - top ways to manage cyber risks in the workplace; - the growing trend of employees bringing their own electronic devices (BYOD) to work; - new reporting requirements as a result...more

Lessons Learned in 2012

As one calendar year ends and the next begins, it is natural to look back to take an inventory of lessons learned and to look forward in an attempt to implement such lessons. The year 2012 certainly had its fair share of...more

Recent SEC Guidance and Upcoming Amendments to California and Illinois Statutes Affect Data Breach Disclosure Obligations

Recognizing that business entities now conduct a majority of their operations with the assistance of electronic programs and databases, and that a significant amount of business and personal information may be stored...more

It's Only a Matter of Degree--Companies Find Trouble in Publicizing the Educational Backgrounds of Officers

Many companies disclose the educational achievements of their directors, officers and key employees. These disclosures can be found on company websites, in company press releases and in filings made with the Securities and...more

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