Proskauer Rose LLP

SEC Once Again Sanctions The CCO of An Investment Advisory Firm

On November 19, 2015, the SEC announced a settlement with investment advisory firm Sands Brothers Asset Management, LLC for violating the Custody Rule, SEC Rule 206(4)-2, which requires that registered investment advisers who…more
| Business Organizations, Finance & Banking, Securities Law

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
| Labor & Employment Law, Finance & Banking, International Law & Trade, Securities Law, Taxation

Facebook Seeks Dismissal in Illinois Facial Recognition Biometric Privacy Suit

As we have previously noted, Facebook has been named as a defendant in a number of lawsuits claiming that its facial recognition-based system of photo tagging violates the Illinois Biometric Information Privacy Act (BIPA). In a…more
| Civil Procedure, Communications & Media Law, Consumer Protection, Privacy, Science, Computers, & Technology

DOL Targets July 2016 For Release of Final Overtime Rule

In its Fall 2015 Semiannual Regulatory Agenda, published last week, the U.S. Department of Labor (DOL) estimated a July 2016 timetable for the publication of the Final Rule containing the agency’s changes to the “white collar”…more
| Labor & Employment Law

Staying Natural: Hain Label Dispute Must Wait for Ninth Circuit Decisions

A district judge in the Northern District of California pressed pause on a mislabeling suit involving “natural” claims pending the outcome of two Ninth Circuit appeals. Astiana v. The Hain Celestial Group, Inc., et al., No…more
| Civil Procedure, Communications & Media Law, Consumer Protection

NYC Commission on Human Rights Clarifies Background Screening Laws

On Thursday, November 19, 2015, Cornell University’s ILR School Labor and Employment Law Program hosted “NYC Ban the Box and Stop Credit Discrimination: A Conversation on Enforcement with the City Commission on Human Rights.” …more
| Civil Rights, Labor & Employment Law

Governor Cuomo Signs Women’s Equality Agenda; New Law Strengthens Equal Pay Protections

On October 21, 2015, Governor Andrew Cuomo signed a group of eight laws, called the Women’s Equality Agenda, which expand protections for women in the workplace in New York. The act will become effective on January 19, 2015. The…more
| Civil Rights, Elections & Politics, Labor & Employment Law

DOL Settles Systemic Hiring and Pay Discrimination Claim With Government Contractor For Close to $2 Million

On November 19, 2015, the U.S. Department of Labor (“DOL”) Office of Federal Contract Compliance Programs (“OFCCP”) announced that it reached a settlement with nine locations of a government contractor “to remedy systemic hiring…more
| Civil Rights, Government Contracting, Labor & Employment Law

SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

The SEC announced this week its proposal to substantially overhaul the rules regarding alternative trading systems (“ATS”), often referred to as dark pools. The proposed rules would require firms operating ATSs to make…more
| Finance & Banking, Privacy, Science, Computers, & Technology, Securities Law

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
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Second Circuit Upholds Common-Interest Privilege for Borrower’s Sharing of Legal Advice with Consortium of Lenders

The Second Circuit held last week that a borrower did not waive the attorney-client privilege by providing documents to a consortium of lender banks that shared a common legal interest with the borrower in the tax treatment of a…more
| Business Organizations, Civil Procedure, Finance & Banking, Mergers & Acquisitions, Taxation

With Circuits Mis-Aligned, Sixth Circuit Stays Class Certification Pending Appeal

As our readers may remember, Procter & Gamble (“P&G”) stomached a loss last August when the Sixth Circuit affirmed certification of a false advertising class action regarding P&G’s Align probiotic supplement. But on October 27,…more
| Civil Procedure, Communications & Media Law, Consumer Protection

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 v…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Securities Law

Delaware Enacts Comprehensive Online Privacy Protection Law

On January 1, 2016, the Delaware Online Privacy and Protection Act (“DOPPA”) will go into force, a law that provides strong online privacy protection for its residents. The new law targets three areas of compliance: (1)…more
| Communications & Media Law, Elections & Politics, Privacy, Consumer Protection, Science, Computers, & Technology

As Litigation Risk Increases, Private Equity Sponsors Should Re-Evaluate Their Professional Liability Insurance Programs

Private equity fund sponsors are facing increased litigation risk from regulators and private parties, including limited partners and stakeholders in portfolio companies.  As a result, private equity firms should re-examine…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Insurance, Securities Law
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