News & Analysis as of

Conflicts of Interest

Trending Wonkology: What is 'Special Counsel'?

by Thompson Coburn LLP on

Special Counsel - Definition: A person appointed by the U.S. Attorney General, or their designee, in cases where an internal investigation may present a conflict of interest or when it may be in the public interest....more

Fiduciary Rule to Go Into Effect but DOL Provides Temporary Non-Enforcement Policy

by Snell & Wilmer on

As reported in our April 18th blog, the Department of Labor (“DOL”) officially delayed the applicability of the Fiduciary Rule for 60 days, until June 9, 2017. Given the multiple delays leading up to the proposed June 9th...more

Dealing with conflicts of interest for registrants - disclosure is not enough

by DLA Piper on

On April 27, 2017, the Investment Industry Regulatory Organization of Canada (“IIROC”) issued a rules notice and guidance note (the “Notice”) regarding dealer firm (“Dealers”) management of compensation-related conflicts. The...more

No Additional Delay on Effective Date of New Fiduciary Standards – DOL

This week, new U.S. Department of Labor Secretary Acosta announced that the final fiduciary regulations would go into effect on June 9, 2017. The Department also issued two pieces of guidance with regard to the regulations...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Several members of healthcare hedge fund Deerfield Mgmt have been implicated in an insider-trading case over the alleged use of confidential information about gov’t financing to trade shares in affected health care companies....more

Brave New World: Compliance and the Transition to Value-Based Care

by Ropes & Gray LLP on

The U.S. health care system is in the midst of a fundamental shift, away from traditional “fee-for-service” models that reward providers for the quantity of services provided to patients, toward value-based models designed to...more

Department of Labor’s New Fiduciary Rule Will Go Into Effect June 9th

The Department of Labor has announced that the new fiduciary conflict of interest rule and related exemptions will begin taking effect on June 9, 2017, ending speculation of further delay. At the same time, the Department...more

Operationalizing Compliance: Part III – Human Resources

by Thomas Fox on

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am...more

Congress members buy, sell sector stocks even as they make health care law

The U.S. Congress, based on its members’ legally required financial disclosures, fares far better than most. Senators and representatives are worth a net $1 million on average. But is it seemly for so many of our crucial...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

Wealth Management Update - May 2017

by Proskauer Rose LLP on

May Interest Rates for GRATs, Sales to Defective Grantor Trusts, Intra-Family Loans and Split Interest Charitable Trusts - The May § 7520 rate for use with estate planning techniques such as CRTs, CLTs, QPRTs and GRATs...more

April Bid Protest Roundup

Our monthly bid protest roundup for April identifies decisions by the Government Accountability Office (GAO) and the Court of Federal Claims on issues concerning: small businesses’ right to a certificate of competency review...more

Employee Benefits Developments - April 2017

by Hodgson Russ LLP on

Deadline to Provide QSEHRA Notice Suspended - IRS Notice 2017-20 - Citing the lack of published guidance, the Internal Revenue Service (IRS) suspended the employer advance notice requirement for qualified small...more

Fiduciary Rule Delayed 60 Days - DOL delays application of Fiduciary rule. ERISA plan fiduciaries and service providers struggle...

On April 7, 2017, the Department of Labor (DOL) published a final rule delaying the applicability date of the “Fiduciary” rule and certain “Prohibited Transaction Exemption” rules (the Rules) for 60 days from April 10, 2017...more

Suing on Behalf of People You’re Suing Can Sink a Derivative Lawsuit — Especially If You Have a Litigious Nature

by Farrell Fritz, P.C. on

The U.S. reportedly has the world’s highest number of lawyers per capita (1 for every 300 people) and the 5th highest number of lawsuits per capita (74.5 for every 1,000 people, topped only by Germany, Sweden, Israel, and...more

Here is How to Fix the UDRP

by Revision Legal on

Recently at Namescon I had the pleasure of watching three of my esteemed colleagues, Nat Cohen of Telepathy, Inc., Jason Schaeffer of Esqwire.com, and Zak Muscovitch of DNAttorney.com, examine three of the most shocking UDRP...more

Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

by Fox Rothschild LLP on

At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more

Ethics Committee Blocks Judges From Joining California Cannabis Gold Rush

Yesterday, right on the cusp of 420, the California Supreme Court Committee on Judicial Ethics issued an opinion regarding “Extrajudicial Involvement in Marijuana Enterprises,” stating that judges should refrain from owning...more

The Official Delay of the Fiduciary Rule: A Compromise

by Snell & Wilmer on

On April 7, 2017, the DOL published a final rule, officially delaying the applicability of the Fiduciary Rule for 60 days, until June 9, 2017....more

Ensuring an expert is independent and other issues

by Dentons on

There have been several judgments in the first few months of 2017 that are worth considering in relation to the impartiality and independence of an expert, as well as the duties of experts....more

Fifth Circuit Holds that Insurer’s Payment to Insured’s Independent Counsel Erodes Policy Limits

A recent Fifth Circuit case highlights the potential risks of purchasing a defense-within-limits policy: If an insurer is obligated to hire independent counsel due to a conflict of interest, that counsel’s fees may erode your...more

M&A Watch: Court Questions Accelerated Vesting of Equity Compensation

by Shearman & Sterling LLP on

As we have previously reported, the Delaware Chancery Court recently dismissed the stockholder class action suit In re Columbia Pipeline Group, Inc. Stockholder Litigation, C.A. No. 12152-VCL (Del. Ch. Mar. 7, 2017),...more

The Lawyers' Lawyer Newsletter - Recent Developments in Risk Management - April 2017

by Hinshaw & Culbertson LLP on

Attorney-Client Privilege – Invoices to Public Entity Client – Ongoing Litigation - Los Angeles Cty. Bd. of Supervisors v. Superior Court, 2 Cal. 5th 282, 386 P.3d 773 (2016) - Risk Management Issue: May a law firm's...more

New Lobbying Legislation in Force in New Brunswick

On April 1, 2017, the New Brunswick Lobbyists’ Registration Act (Act) came into force, creating the first regime in New Brunswick to regulate lobbyists and lobbying activity in the province. The proclamation of the Act...more

DOL Issues Final Rule Delaying Fiduciary Rule until June 9, 2017

by Robinson & Cole LLP on

As ordered by President Trump in a presidential memorandum on February 3, 2017, (Memorandum), the U.S. Department of Labor (DOL) proposed a 60-day delay to its conflict of interest rule (commonly referred to as the “fiduciary...more

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